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Legal & Compliance Employee Profiles

Millions of people entrust their financial futures to us, and we take that responsibility seriously. Our legal and compliance employees are the technical resources for both internal and external customers. They review company documents, plans, contracts and advertisements to ensure the company complies with government regulations.

There are opportunities in research, analytical positions and more customer-service based positions. If you are technically savvy, can explain difficult concepts in easy-to-understand terms, work well independently and enjoy doing research, this could be the career for you.

Hear from our employees

Picture of Krista
Name: Krista
Title: Attorney
Read Krista's story

Picture of Rick
Name: Rick
Title: Privacy Officer
Read Rick's story

Picture of Jennifer
Name: Jennifer
Title: Senior Compliance Analyst
Read Jennifer's story

Picture of Steve
Name: Steve
Title: Senior Paralegal Analyst
Read Steve's story

Picture of Michelle
Name: Michelle
Title: Senior Compliance Consultant
Read Michelle's story

More profiles: All Career Paths


The Principal is an Affirmative Action and Equal Opportunity Employer and an E-Verify participant. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, sexual orientation, national origin, protected veteran status, or disability status. If you live in or are applying for work in NJ, view and print information about your rights (PDF).

Have a question? Call us at 1.800.986.3343

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