Legal/Compliance Employee Profile
Business Area: Retirement and Investor Services
Years at The Principal: 2 years
After attending law school, I was worried about finding a career path that would fulfill my competitive spirit and still provide the work/life balance that I needed for my growing family. Five months after taking my position at The Principal, I had a baby. At the time, I had no idea how much flexibility I’d need.
As a working mom, I appreciate the company’s support in helping employees achieve a work/life balance. Here, I have the kind of career that I can feel excited about and the flexibility to spend time with the people who excite me.
While I’m thankful for the work/life balance and supportive leadership, I enjoy what I do. When I started at The Principal, I had little knowledge of securities. Although I haven’t arrived in understanding all of the complexities of the industry, I’ve been able to learn very detailed information in a relatively short time.
As a senior broker-dealer compliance analyst, I need to have a strong understanding of our business and the industry. In my role, I read and review securities regulations and legislation to ensure that our broker-dealer channel, Princor, is in compliance with them. In addition, I review various agreements and serve as a contact for litigations/arbitrations involving our broker-dealer. With the support of my leaders, I’ve been able to attend industry conferences and preparation time and resources to take various exams to help me do my job better.
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