Job Description
**What You'll Do**
Principal is hiring for a Compliance Advisor to provide support to our Broker-Dealer and build relationships that will strengthen our program and foster collaboration! The position acts as a 2nd line of defense within our compliance program and supports the risk owners.
The position will serve as a compliance partner and business liaison and act as a subject matter expert with a focus on broker-dealer trading operations, surveillance, and supervision as well as for other business areas. This position will also provide advice and support on select business development initiatives and projects.
**You will also:**
+ Monitor regulatory changes and provide comprehensive research, analysis, and guidance on laws, regulations, and other complex compliance matters.
+ Evaluate compliance and business situations and clearly communicate guidance and decisions to business partners and management.
+ Participate on highly visible special pr...
Principal is hiring for a Compliance Advisor to provide support to our Broker-Dealer and build relationships that will strengthen our program and foster collaboration! The position acts as a 2nd line of defense within our compliance program and supports the risk owners.
The position will serve as a compliance partner and business liaison and act as a subject matter expert with a focus on broker-dealer trading operations, surveillance, and supervision as well as for other business areas. This position will also provide advice and support on select business development initiatives and projects.
**You will also:**
+ Monitor regulatory changes and provide comprehensive research, analysis, and guidance on laws, regulations, and other complex compliance matters.
+ Evaluate compliance and business situations and clearly communicate guidance and decisions to business partners and management.
+ Participate on highly visible special pr...