Senior Compliance Analyst

What You'll Do

We’re looking for a Senior Compliance Analyst to join our Enterprise Advertising Compliance team. In this role, you’ll be responsible for reviewing advertising/sales materials and consulting with business partners on new initiatives and ongoing efforts. The successful candidate will have general compliance knowledge, strong analytical skills, detail-oriented approach, excellent organizational skills, ability to prioritize and allocate projects and workflow as needed, and the ability to seek out and drive efficiencies in existing processes. Some responsibilities include conducting in-depth regulatory research, analyzing risk exposures, and advising compliance requirements. The role also leads and supports compliance monitoring, testing, and reporting activities, drafts and reviews of policies and reports, and contributes to training and awareness efforts. You'll also collaborate with business units on new offerings ensures regulatory alignment, working closely with other team members and leaders while operating with moderate autonomy. The role engages with a broad range of internal stakeholders to advance compliance initiatives.

 

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

• Conduct review of retail and institutional marketing materials related to Principal’s products and services to ensure compliance with applicable industry rules (i.e., Insurance, FINRA, & SEC) and firm policies and procedures. The role can cover a range of product types including investment, retirement, insurance, and specialty benefit product lines.
• Consult, build, and maintain strong relationships with internal business partners and recommend actions to ensure compliance with applicable laws and standards.
• Assist with compliance policies and procedures, training initiatives, internal reviews, and projects as assigned.
• Support efforts to provide comprehensive analysis and guidance on advertising laws, regs, and complex compliance issues while reviewing and approving marketing material.

You'll have the opportunity to grow in:

• Product knowledge - Gain in-depth knowledge of innovative and complex products across the enterprise to perform and support effective advertising compliance processes.
• Relationship building - Build and maintain strong relationships with the business areas that we support to ensure that business needs are met in a compliant way.
• Process Improvements – Help evaluate current compliance processes to identify inefficiencies and areas for improvement.
• Risk Management - Conduct risk assessments to identify potential compliance issues. Facilitate reporting of compliance risks across business units and geographies. Evaluate scenarios to determine the best course of action and offer strategic advice.
• Regulatory Research - Assist the team in efforts to investigate, analyze, and interpret laws, regulations, and industry guidelines to support enterprise compliance, particularly in the ad review space. Research regulatory standards and best practices, contributing insights to enhance policy development and operational alignment.
• Data Analysis – Gather and organize data from audits, incident reports, filings, transaction records, and regulatory documents. Analyze large datasets to identify compliance trends, risks, and anomalies; apply basic statistics and create visual summaries. Use tools like Excel (formulas, pivot tables), SQL, Tableau, or Power BI to clean, structure, and present data. Ensure data accuracy and completeness; correct errors, validate entries, and summarize findings for reporting and decision-making.
• Risk Management – Monitor business activities and conduct compliance testing and examinations to identify compliance risks and exposures. Review processes, training materials, filings, and records for gaps or breaches of policy or regulation. Assist with documentation requests and analysis; support identification of corrective actions and escalation of issues. Apply risk management principles under supervision; evaluate root causes and assess regulatory impacts on risk profiles. Review and approve deliverables using a risk-based approach to decision-making to support business goals while ensuring compliance with regulatory requirements and company policies.
• Communications & Reporting – Write clear, concise compliance reports, filings, policies, training materials and testing documentation. Present findings and recommendations to various audiences; lead meetings and deliver training sessions. Maintain accurate records of correspondence and compliance activities; escalate issues as needed. Serve as a resource on compliance matters; communicate complex concepts clearly and build relationships across departments.
• This position may require successful completion of a criminal background check.

 

Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!

Who You Are

• 6+ years of relevant financial services experience demonstrated through one or a combination of the following: work experience, training, military experience or education
• Previous compliance and/or advertising review experience within financial services industry preferred
• FINRA Series 6 and 26, or 7 and 24 required (Series 24 is preferred)
• Familiarity with financial service products, markets, laws and regulations is preferred (SEC/FINRA/state/federal, AML, KYC, GDPR)
• Knowledge of laws and regulations related to retirement plans, life insurance, annuities, investments, broker/dealer, and investment advisors
• Proficiency working with Microsoft Office suite
• Strong written and verbal communication skills
• Excellent organizational and attention to detail skills
• Analytical and problem-solving skills
• Strong consulting and relationship building skills
• Ability to work independently and in team environment
• Must be comfortable providing consultation to various organizational levels
• Must display high level of professionalism and ability to explain complex information
• Travel, including overnight stays, may be required periodically

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)

$84600 - $152400 / year
Salary Details

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

• Grand Island, NE: $84,600 - $114,300 / year
• Des Moines, IA: $89,300 - $120,650 / year
• Charlotte, NC: $94,000 - $127,000 / year
• Chicago/Minneapolis: $103,400 - $139,700 / year
• Los Angeles/New York City: $112,800 - $152,400 / 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

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

7/27/2026

Most Recently Posted Date

7/27/2026

 

Principal uses artificial intelligence tools to assist in reviewing and evaluating job applications, fraud prevention, and candidate matching and comparisons. These AI tools support our human recruiters in the initial review process but do not make final hiring decisions without human involvement. By submitting your application, you acknowledge this use of AI in our recruitment process. Please review our Workforce (U.S.) Privacy Notice for more details on our practices and your data privacy rights.

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