Legal & Compliance Employee Profile
Name: Amy
Business Area: Retirement and Investor Services
Degree: English Literature and Law
Years at The Principal: 1 year
Amy's Story
When I first joined the company as a compliance analyst, I knew I had a lot to learn. But, I wasn’t left on an island to figure it out myself. In my position, I perform due diligence in reviewing broker applications and also provide regulatory analysis within our retirement business.
As part of my job, I handle a lot of securities-related information. The Principal provided me with study time, paid the cost for study classes and the fees to take the Series 7 and 24 exams. It was a great accomplishment for me to pass both exams in six months and it wouldn’t have been possible without help from The Principal.
When I think about my time at The Principal, I’m thankful for the flexibility. Work-life balance at The Principal is not just lip service it’s real. This year, we’ve had some tough weather that has caused problems at our home. Each time something’s come up, I’ve been able to take time off to get things back in order. That wouldn’t have been possible without the support of my leaders and co-workers. While it seems like such a small thing, my team’s flexibility helped me get through a stressful time at home without being concerned about my work.
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