Compliance Advisor
About this role
Job Title: Compliance Advisor
Job Description
What You'll Do
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Principal is hiring for a Compliance Advisor to provide support to our Broker-Dealer and build relationships that will strengthen our program and foster collaboration. The position acts as a 2nd line of defense within our compliance program and supports the risk owners.
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The position will serve as a compliance partner and business liaison and act as a subject matter expert with a focus on broker-dealer compliance. This position will also provide advice and support on select business development initiatives and projects.
You will also:
- Monitor regulatory changes and provide comprehensive research, analysis, and guidance on laws, regulations, and other complex compliance matters.
- Evaluate compliance and business situations and clearly communicate guidance and decisions to business partners and management.
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