Assistant Director - Compliance (Broker-Dealer)

What You'll Do:

Principal Financial Group is seeking a strategic, relationship-driven Assistant Director of Compliance to support and elevate the compliance program for Principal Advice Services (PAS)—a Registered Investment Adviser focused on managed accounts and helping individuals prepare for retirement. This role is ideal for someone who understands both the investment adviser landscape, and who thrives at bridging those two worlds.

 

As the Assistant Director of Compliance, you will work closely with the Chief Compliance Officer and senior leaders to ensure we maintain a strong, adaptive compliance framework in an evolving regulatory environment. This position combines hands-on compliance oversight while working with a team, ensuring policies and procedures are effectively implemented and monitored in a dynamic regulatory environment.

 

What You’ll Do

• Serve as a key compliance partner bridging the recordkeeping and investment advice functions to ensure aligned, compliant delivery of retirement-focused advisory services.
• Stay continually informed about regulatory changes impacting RIAs, retirement advice, and ERISA-governed programs, adjusting compliance programs as necessary.
• Develop, maintain, and enhance written compliance policies, procedures, and internal controls.
• Identify, assess, and mitigate compliance risks across the firm, supporting leadership in addressing current and emerging issues.
• Lead and support compliance training to deepen regulatory awareness across the organization and promote a strong ethical culture.
• Manage regulatory filings, disclosures, and Form ADV updates with accuracy and timeliness.
• Conduct ongoing monitoring, testing, and documentation to assess the effectiveness of the compliance program, reporting findings to senior leadership.
• Maintain and organize compliance records to ensure readiness for audits and regulatory examinations.
• Leverage automation, dashboards, and new technologies to increase the efficiency and scalability of compliance oversight.
• Support interactions with regulatory bodies (including the SEC), as well as internal and external legal teams.
• Build strong partnerships across compliance, legal, risk, recordkeeping operations, and advisory teams.
• Champion initiatives that reinforce the firm’s Code of Ethics and strengthen an ethical, accountable workplace culture.

Who You Are:

• Bachelor’s degree or equivalent experience.
• 8+ years of RIA compliance experience, ideally within a retirement or broker-dealer.
• Experience with ERISA recordkeeping operations strongly preferred.
• Demonstrated expertise with regulatory frameworks including Reg BI, the Investment Advisers Act of 1940, and ERISA fiduciary investment advice rules.
• Financial planning experience preferred.
• Strong analytical, investigative, and risk-assessment abilities; comfortable operating in areas of regulatory nuance.
• Exceptional written and verbal communication skills.
• High degree of creativity, resourcefulness, and problem-solving ability.
• Strong interpersonal, negotiation, and presentation skills.
• Proven ability to use data analysis, dashboards, and reporting to enhance oversight.
• Demonstrated experience implementing process improvements.
• Experience engaging directly with regulators, including the SEC.
• Series 65 or 66 licensing preferred but not required.

Salary Range Information: Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Salary Range: $127000 - $171000 / year Time Off Program: Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided. Pension Eligible: Yes Additional Information:

Work Authorization/Sponsorship

At this time, we're not considering applicants that need any type of immigration sponsorship (additional work authorization or permanent work authorization) now or in the future to work in the United States. This includes, but IS NOT LIMITED TO: F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, etc. For additional information around work authorization needs please use the following links.

 

Nonimmigrant Workers and Green Card for Employment-Based Immigrants

 

Investment Code of Ethics

For Principal Asset Management positions, you’ll need to follow an Investment Code of Ethics related to personal and business conduct as well as personal trading activities for you and members of your household. These same requirements may also apply to other positions across the organization.

 

Experience Principal

At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our careers site to learn more about our purpose, values and benefits.

 

Principal is an Equal Opportunity Employer

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

Posting Window: We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline. Date First Posted (TTF): 4/2/2026 Latest Post Date: Careers - US: 4/2/2026

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