Senior Director- Compliance, Enterprise Advertising

What You'll Do

Principal Financial Group is seeking a Senior Director of Compliance to lead and advance our newly consolidated Enterprise Advertising Compliance Program. In this role, you will oversee and guide a dedicated team responsible for ensuring advertising compliance across the organization. As Principal continues to evolve its business and product offerings, the ideal candidate will assess and refine existing protocols, implementing a modern, risk-based approach while ensuring full adherence to regulatory requirements. This is a high-impact opportunity for a strategic leader committed to driving compliance excellence in a multifaceted and evolving business environment.

 

In addition, you'll:

• Lead and supervise advertising compliance for all retail and institutional products across the enterprise.
• Serve as an expert on FINRA, SEC, ERISA, NAIC, and FTC regulations, offering technical guidance and compliance support.
• Assist business unit Compliance Officers in ensuring advertising materials align with applicable laws and regulations.
• Identify and implement improvements to improve the advertising compliance program, staying ahead of industry trends and representing Principal in relevant industry groups.
• Manage and develop staff, including recruitment, training, mentorship, performance evaluations, and salary administration.
• Collaborate with senior leaders to provide consultative advertising compliance support for business initiatives and processes.
• Provide strategic feedback to optimize the enterprise-wide Ethics and Compliance Program.
• Drive initiatives for employee communication and training, promoting the Code of Ethics and a strong ethical workplace culture.

Who You Are

• 10 years’ experience in financial services with heavy focus on broker dealer retail marketing acumen/RIA
• Series 7 and Series 24 license required
• Extensive knowledge about various products and services offered by Principal, including mutual funds, exchange-traded funds, separately managed accounts, collective investment trusts, securities, group benefit insurance products, annuities, financial planning, retirement plans, and retail advisory services.
• A risk-astute thinker who is comfortable operating in the gray
• Prior formal leadership experience required
• Excellent written and oral communication skills
• Highly advanced analytical, problem solving, and organizational abilities
• High level of creativity and resourcefulness
• Outstanding negotiation, presentation, and interpersonal skills
• Demonstrated application of robust data analysis and reporting capabilities
• Significant experience in assessing and implementing process improvements
• Demonstrated experience interacting with regulatory bodies

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)

$153000 - $207000 / 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 Environments

This role offers in-office, hybrid (blending at least three office days in a typical workweek), and remote work arrangements (only if residing more than 30 miles from Des Moines, IA, or Charlotte, NC). You’ll work with your leader to figure out which option may align best based on several factors.

 

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

3/26/2025
Most Recently Posted Date

3/26/2025

LinkedIn Remote Hashtag

#LI-Remote

LinkedIn Hashtag

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Salary : $153,000 - $207,000