Principal AML Officer- PSI in Des Moines, Iowa
As the AML Officer for Principal Securities, you’ll ensure day to day compliance with regulatory obligations for the broker/dealer and RIA as they relate to AML. You’ll manage the program, oversight and review of activity, and filing with regulators.
Other types of things you’ll do:
Effectively implement and review Principal Securities AML Program.
Conduct investigations effectively with sounds execution.
Maintain current knowledge of rules, regulations and policy initiatives regarding AML.
Develop and maintain relationships with regulators and industry colleagues to ensure industry best practices are meet.
Provide training and ensures AML awareness by partnering with various departments throughout Principal Securities.
Partner with senior management to surface, investigate and resolve potential compliance issues.
Conduct risk-based analysis to ensure systems and processes are effective.
We’re looking for someone with:
Bachelor's degree or equivalent of 8 years’ experience.
8+ years of experience in AML Risk Management with a Broker Dealer including superior knowledge of AML practices.
Active FINRA 7 and 24 licensing or equivalent.
Active FINRA 66 is preferred. If you do not hold an active FINRA 66, you’ll have 6 months to receive active licensing.
CAMS Certified is preferred.
OFAC, BSA, AML Regulation.
Extensive experience interacting with federal and state regulators
Executive presence, with proven ability to interact successfully with senior management
Highly detail-oriented, and ability to work collaboratively
Ability to think and act both strategically and tactically
At this time, we're not considering candidates that need any type of immigration sponsorship now or in the future or those needing work authorization for this role. (This includes, but is not limited to students on F1-OPT, F1-CPT, J-1, etc.)
Investment Code of Ethics
For Principal Global Investors 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.
While our expertise spans the globe, we're bound by one common purpose: to foster a world where financial security is accessible to all. And our success depends on the unique experiences, backgrounds, and talents of our employees – individually and all of us together. Explore our core values, benefits and why we’re an exceptional place to grow your career.
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.
Requisition ID: 2020-28646
Enterprise Segment: USIS
Street: 711 High Street
FLSA Status: Exempt