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Check with seller Asst Dir-Annuity Compliance Des Moines

Published date: April 3, 2022
  • Location: Des Moines, Iowa, United States

Responsibilities:
As the Assistant Director, Annuity Compliance, you’ll be accountable for identifying, analyzing, and assuring business unit implementation and compliance with all applicable federal and state laws and regulations.

In addition, you’ll:

  • Be accountable for identifying, analyzing, and assuring business unit implementation and compliance with all applicable federal and state laws and regulations.
  • Oversee the compliance program to maintain compliance with FINRA, SEC, IRS, and state regulations, laws and guidelines, including the oversight of systems and development of programs to ensure customer and producer transactions comply with applicable laws.
  • Lead efforts to provide comprehensive analysis and guidance on laws, regulations, and complex annuity compliance issues.
  • Advise senior management of deficiencies in compliance systems or violations of federal, state, or self-regulatory requirements. Resolve issues to ensure policies and procedures remain compliant between formal assessments.
  • Represent Principal Financial Group on Trade Association groups.
  • Develop and maintain competent compliance staff through selection, training, coaching, performance review, salary administration, and development. Develop and maintain relationships within the annuity industry including regulators and annuity professionals. Perform other jobrelated duties or special projects as required.
Qualifications:
  • Bachelor’s degree or equivalent, plus 5+ years of related work experience required
  • FINRA Series 7 and 24 required or will need to be attained within 6 months of start of employment
  • Must have excellent organizational, analytical/problem solving, presentation, written and oral communication skills
  • Must have basic PC skills with the ability to maintain a high degree of accuracy and pay strict attention to detail
  • Must be able to maintain a high degree of confidentiality
  • Significant time in Des Moines Corporate offices is required
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: $116000 - $162000 / year

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