Who You Are Bachelor's degree or equivalent required, 8 plus years relevant experience JD or MBA may be considered in lieu of some experience Extensive knowledge of applicable compliance and legal issues, various company products and services, and department operations Experience in retirement record keeping and/or insurance or mutual fund company wholesale distribution broker-dealer or investment adviser Creative and self-directed with ability to consider a wide range of factors in solving problems Excellent leadership, negotiation, presentation, and organizational, skills required as well as superior interpersonal, relationship-building, analytical, time management, and oral and written communication skills FINRA series 7, 24 and state 65/66 preferred Salary Range Information Salary ranges below reflect targeted base salaries. You'll have the opportunity to: Lead the practice group accountable for providing compliance consultation and compliance risk assessment to Principal Securities (PSI), Principal Fund Distributor (PFD) and various stakeholders in the strategic business areas of Principal, guiding development and maintenance of policies and procedures to reasonably comply with broker-dealer requirements for business areas providing securities aspects of the retirement record keeper, variable/group annuity, variable life and fund complex wholesaling, insurance variable product underwriting and distribution, securities aspects of the retirement record keeper, area compensation practices, wholesale activity licensing and registration, and the books and records in those product areas.