Compliance Advisor

What You'll Do

As a Compliance Advisor, you’ll support the organization’s compliance program by executing risk‑based compliance testing. You’ll partner with compliance and business stakeholders and other risk functions to assess compliance processes and controls, identify gaps, and support effective remediation.

Here are a few examples of the kinds of things you’ll do:

• Conduct second‑line, risk‑based compliance testing of policies, procedures, processes, and controls using established testing standards and methodologies.
• Review and evaluate documentation, data, and other evidence; conduct interviews and walkthroughs to assess control design and effectiveness.
• Document testing results, including observations, root cause analysis, and risk impact, and draft clear, well‑supported testing reports.
• Partner with compliance, business and risk stakeholders to discuss results, validate observations, and support development of corrective action plans.
• Track remediation activities and perform follow‑up testing to assess whether corrective actions are complete and sustainable.
• Apply regulatory requirements, internal policies, and risk assessment results to inform testing scope and conclusions.
• Collaborate with other compliance, risk, and audit teams to promote alignment, consistency, and efficiency across testing activities.
• Identify opportunities to improve testing approaches, templates, reporting clarity, and overall program effectiveness.
• Leverage data, technology, and automation to improve testing efficiency, consistency, and insight.
  
  
  

Who You Are

• Bachelor’s degree or equivalent professional experience.
• 6 years of experience in compliance, risk management, audit, or related testing/monitoring roles in a regulated environment.
• Strong analytical and critical‑thinking skills, with the ability to assess complex processes and exercise sound judgment.
• Clear and effective written and verbal communication skills, with experience documenting results and engaging stakeholders.
• Ability to work independently, manage multiple testing activities, and meet deadlines.
• Collaborative mindset with the ability to build trusted relationships and provide credible challenge.
  
  
  

Skills That Will Help You Stand Out

• Prior experience performing compliance testing or monitoring activities from planning through reporting and remediation follow‑up within financial services or asset management space
• Familiarity with compliance control frameworks, issue management, and remediation practices.
• Experience working across the three lines of defense.
  
  
  

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 (Non-Exempt expressed as hourly; Exempt expressed as yearly)

$104400 - $163000 / year

Salary Details

The following locations are examples of market-specific salary ranges across different geographies.

• Grand Island, NE / Wichita, KS: $104,400 - $123,000 / year
• Des Moines, IA / Tampa, FL: $110,200 - $130,000 / year
• Charlotte, NC / Dallas, TX: $116,000 - $136,000/ year
• Chicago, IL / Denver, CO / Minneapolis, MN: $127,600 - $150,000 / year
• Los Angeles, CA / New York City, NY: $139,200 - $163,000 / 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

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.

Original Posting Date

5/1/2026

Most Recently Posted Date

5/4/2026

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