- Principal Financial Group (Des Moines, IA)
- **What You'll Do** As a Senior Compliance Analyst you will be providing compliance support for Principal Advised Services', an SEC -registered ... ad hoc research at the direction of the Chief Compliance Officer or senior Compliance ... compliance experience, which includes 2 years+ of SEC Compliance and/or ERISA Compliance … more
- SitusAMC (Des Moines, IA)
- …tracking, and monitoring SitusAMC's client risk management, independence and compliance processes and policies. Requires supervision in engaging with management ... Responsible for coordinating and overseeing internal and client risk management and compliance processes and projects - Liaising with key stakeholders, tracking the… more