Compliance Analyst

Responsibilities:

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:

Essential Functions

% of

Time Spent

• Monitor compliance activities associated with code of ethics and employee trading policies. Participate in coordination and oversight of Code of Ethics quarterly reporting, monitoring of trade activity, maintenance of on line Code of Ethics reporting system and training.

• Monitoring electronic communication for regulated users based on defined policy. Conducting audio review of reported calls and review of Advertising and Bloomberg data. Research both regulatory filing information and writing and communicating guidelines to keep other departments aware of requirements.

• Having technical skills of emerging technologies like MS teams flows, Power Automate, Power BI and excel macros to help automate current processes and help gain process efficiencies.

• Research both regulatory filing information and writing and communicating guidelines to keep other departments aware of requirements. Conducting Audio review and Marketing review, Crime and Fraud Investigation and managing AML and Risk Compliance.

• Support Legal and Compliance staff members in the development and maintenance of policies, procedures and controls designed to mitigate Corporate risk. Enhance understanding of PFG stakeholders/clients' needs through self-initiated research and involvement in on-going investment activities.

• Identify regulatory/policy gaps, and their root causes, and work with business units to correct deficiencies.

20

15

25

15

10

5

• Handle more complex day-to-day legal and compliance inquiries from internal customers.

• Perform other job-related duties or special projects as required and oversight of total deliverables .

5

5

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

Qualifications:

MBA Finance preferred

Additional Information:

KNowledge of ACA application