Responsibilities

What you'll do:

As a Trainee Analyst – Legal & Compliance at Principal, you will be a part of our Compliance Team. You will assist with various compliance functions and support global investment initiatives. Your role will involve compiling and correlating compliance data, conducting research and analysis, and aiding in the development, implementation, and maintenance of frameworks, methods, and oversight mechanisms. This outstanding opportunity will allow you to improve your skills and contribute to our mission of providing outstanding service!

You'll Have The Opportunity To

• Supervise conformity with activities connected to the code of ethics and employee trading policies.
• Participate in compliance-related activities such as AML, KYC, Email surveillance, and Fraud training.
• Monitor electronic communication for regulated users based on defined policy.
• Conduct audio reviews of reported calls and review Advertising and Bloomberg data.
• Research and code Fraud alerts, writing and communicating guidelines to keep other departments aware of requirements.
• Conduct Marketing reviews and handle AML and Risk Compliance.
• Support Legal and Compliance staff members in developing and maintaining policies, procedures, and controls crafted to mitigate Corporate risk.
• Identify regulatory/policy gaps and their root causes, and work with business units to address deficiencies accurately.
• Assist in screening and monitoring Bridger alerts on a daily, bi-weekly, and monthly basis.
• Manage complex daily legal and compliance questions from internal customers.
• Perform other job-related duties or special projects as required and coordinate total deliverables.
  
  

Qualifications

Who you are:

Education & Experience

• Bachelor’s degree or experience with emphasis in finance, accounting, or other business-related field required OR MBA (Finance) with emphasis in finance, accounting.
• Possessing Min. 1+ years of experience as an Analyst, advisor or working in financial services.
  
  

Skills That Will Help You Stand Out

• Knowledge of compliance and regulatory environment, including SEC, CFTC, NFA, FINRA, and other US federal, state, and global regulations advantageous.
• This position is subject to SEC restrictions on personal investments and political contributions.
• Problem-solving ability and good technical knowledge.
• Strong attention to detail and the ability to read and interpret requests, apply correct rules, and accurately process data inputs.
• Consistently fulfill timing expectations and uphold SLA, delivering work with a high level of accuracy.
• Good comprehension, analytical skills, typing skills, diligent, multitasking abilities, prioritization, time management, written & verbal communication skills, and experience navigating the internet.
• Possess analytical, problem-solving, interpersonal, time management, and communication skills.
• Ability to research, perform due diligence, and help implement new technologies when appropriate.
• Client service orientation, ability to work under pressure in a fast paced, team-based environment, and produce accurate and timely information.
• Must balance multiple tasks, prioritize effectively, and be flexible as business needs change.
  
  

Additional Information

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.