What You'll Do Are you passionate about bridging business growth with regulatory excellence? We’re seeking a strategic Compliance Advisor professional to partner with our Marketing and Sales teams in shaping how our investment products are presented to the marketplace. In this highly visible role, you’ll provide critical oversight and guidance on advertising, communications, and marketing materials—ensuring compliance while enabling business success. You’ll play a key role in reviewing complex materials across diverse investment products, helping leaders make informed decisions, and influencing the way we engage clients and stakeholders. If you thrive in a fast-paced environment where your expertise directly impacts both risk management and business growth, this opportunity is for you. What You’ll Do Serve as a trusted advisor to Sales and Marketing, delivering business-friendly compliance solutions that balance opportunity with risk. Review and approve a wide range of materials—brochures, presentations, websites, social media, reports—for products including proprietary mutual funds, ETFs, interval funds, CITs, SMAs, institutional composites, model delivery, and more. Provide expert consultation on new products, campaigns, and initiatives, guiding teams from concept through launch. Conduct deep research and analysis on complex regulatory and policy issues, offering strategic guidance to leadership. Partner on high-profile projects that drive business and corporate growth. Support regulatory exams (SEC, FINRA) and internal audits, ensuring readiness and effective responses. Use data to generate insights that inform compliance strategies and decision-making. Mentor, coach, and cross-train compliance colleagues, strengthening team expertise and organizational resilience. Build strong partnerships across Marketing, Sales, Legal, and external counsel to drive collaboration and alignment. Who You Are Bachelor’s degree or equivalent; JD or MBA strongly preferred. 6+ years of experience in compliance, including advertising review for broker-dealer or investment advisory products. Expert knowledge of broker-dealer and investment advisory advertising rules, with deep familiarity with FINRA advertising standards and the SEC Marketing Rule. FINRA Series 7 and 24 required. Exceptional communicator with advanced analytical, problem-solving, and organizational skills. Creative, resourceful, and adept at process improvement. Experienced in mentoring and developing talent. Skilled at applying risk management frameworks and engaging with regulators. Work Environments This role offers in-office, hybrid (blending at least three office days in a typical workweek), and remote work arrangements (only if residing more than 30 miles from Des Moines, IA, Charlotte, NC, and Raleigh, NC). You’ll work with your leader to figure out which option may align best based on several factors. 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) $100800 - $182400 / 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 Work Authorization/Sponsorship At this time, we're not considering applicants that need any type of immigration sponsorship (additional work authorization or permanent work authorization) now or in the future to work in the United States. This includes, but IS NOT LIMITED TO: F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, etc. For additional information around work authorization needs please use the following links. Nonimmigrant Workers and Green Card for Employment-Based Immigrants Investment Code of Ethics For Principal Asset Management positions, you’ll need to follow an Investment Code of Ethics related to personal and business conduct as well as personal trading activities for you and members of your household. These same requirements may also apply to other positions across the organization. Experience Principal At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our careers site to learn more about our purpose, values and benefits. Principal is an Equal Opportunity Employer All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status. 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 10/1/2025 Most Recently Posted Date 10/1/2025 LinkedIn Remote Hashtag #LI-Remote