Compliance Analyst presso Principal Global Services

Principal Global Services Private Limited

 Position:  PGS Compliance Analyst                                                                                                                                                                                                                                                                                                         

Job Description

Position Title:   Compliance Analyst T2                                                                                                                                         

Business Unit:  PGS Legal & Compliance Community                                                                                   

Date Written:   04/10/2022                                                                                                                             

Position Purpose:             

PGS Legal & Compliance Analyst is responsible for assisting with various firm legal and compliance functions.  In this role you will be working as a member of the Compliance Team and be responsible for the day to day administration of compliance related activities for Principal Financial Group.  Activities may involve the compiling and correlating of legal and compliance data, conducting research and analysis, and aiding in the development, implementation and maintenance of policies, procedures and controls, and other firm and investment compliance functions. Support global investment initiatives through participation in projects, process reviews and/or system enhancements. Incumbent should be open to hybrid and remote working models as well as multi work day schedule options.

Note: 

Know-How/Skill Sets/Job Requirements:

Education: Bachelor’s degree with emphasis in finance, accounting, legal or other business related field required. 

Experience  3-5 years Registered Investment advisor or experience working in financial services.  Must have problem solving ability and good technical knowledge.  Knowledge of the investment regulatory environment, including SEC, CFTC, NFA, FINRA and other US federal, state and global regulations would be advantageous.  This position is subject to SEC restrictions on personal investments and political contributions.  Knowledge of legal concepts preferred.

Skill:

Strong attention to detail

Able to read and interpret request, apply correct rules, accurately process data inputs

Able to consistently do repetitive work

Consistently able to meet timing requirements and maintain SLA

Consistently produce work with high degree of accuracy

Good comprehension skills, analytical skills, good typing skills, detail-oriented, multitasking, ability to prioritize, time management skills, good written & verbal communication skills, experience in navigating the internet. Ability to work on different applications.

Knowledge of, or ability to obtain knowledge of, financial services and investment related terminology.

Must demonstrate possession of analytical, problem solving, interpersonal, time management and communication skills. Must be detailed oriented.

Research, perform due diligence, and help implement emerging technologies when appropriate.

Success in this position requires a client service orientation, the ability to work under pressure in a deadline driven, team-based environment and the ability to produce accurate and timely information. Must be able to handle multiple tasks, prioritize effectively and be flexible as business needs change.

Requirements (Compliance):

Provide prompt, courteous and excellent service at an acceptable cost to all customers, operate in an ethical manner in accordance with State and Federal law, the company's Corporate Code of Ethics, Affirmative Action, Diversity, employee handbook, applicable compliance and operations policies and procedures and other policies of the company.

General Technical fluency (for both analytics and engineering)

Possess a high degree of integrity and actively cooperate and interact with all entities of the Principal Financial Group

Dimensions: 

Open to work in multiple shifts 

Reporting Relationship (Job Titles Only):

This position reports to:      PGS Compliance Director or other Compliance Team Leader. 

Direct Reports:                     None

MBA Finance preferred

KNowledge of ACA application