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Compliance Advisor Jobs (NOW HIRING)

Principal Financial Group

Compliance Advisor

Des Moines, IA · On-site +1

$104K - $150K/yr

What You'll Do We're looking for a Compliance Advisor to join our Principal Securities/Principal Funds Distributor (PSI/PFD) Compliance team! In this role, you'll assist compliance leadership in ...

Principal Financial Group

Compliance Advisor

Charlotte, NC · On-site +1

$104K - $150K/yr

What You'll Do We're looking for a Compliance Advisor to join our Principal Securities/Principal Funds Distributor (PSI/PFD) Compliance team! In this role, you'll assist compliance leadership in ...

Neotecra

Compliance advisor

Newark, NJ · On-site

... and advisor for the company's Affirmative Action Program. Directly responsible for: • AAP ... AA Compliance Analyst to conduct mock audits of location as if an OFCCP scheduling letter was ...

Principal Financial Group

Compliance Advisor

Raleigh, NC · On-site +1

$104K - $150K/yr

What You'll Do We're looking for a Compliance Advisor to join our Principal Securities/Principal Funds Distributor (PSI/PFD) Compliance team! In this role, you'll assist compliance leadership in ...

Principal Financial Group

Compliance Advisor

Des Moines, IA · On-site +1

$104K - $150K/yr

What You'll Do We're looking for a Compliance Advisor to join our Principal Securities/Principal Funds Distributor (PSI/PFD) Compliance team! In this role, you'll assist compliance leadership in ...

Capital One

Compliance Advisor Manager

Manhattan, NY · On-site

Compliance Advisor Manager Corporate Compliance is seeking a Manager to support Capital One's Finance group. Finance is responsible for executing the overall financial management of Capital One ...

Frost Bank

Compliance Advisor - Lending

San Antonio, TX · On-site

If so, being a Compliance Advisor with Frost could be for you. At Frost, it's about more than a job. It's about having a flourishing career where you can thrive, both in and out of work. At Frost, w ...

Capital One

Compliance Advisor Manager

Mclean, VA · On-site

Compliance Advisor Manager Corporate Compliance is seeking a Manager to support Capital One's Finance group. Finance is responsible for executing the overall financial management of Capital One ...

Capital One

Compliance Advisor Manager

Wilmington, DE · On-site

Compliance Advisor Manager Corporate Compliance is seeking a Manager to support Capital One's Finance group. Finance is responsible for executing the overall financial management of Capital One ...

Frost Bank

Compliance Advisor - Lending

San Antonio, TX · On-site

If so, being a Compliance Advisor with Frost could be for you. At Frost, it's about more than a job. It's about having a flourishing career where you can thrive, both in and out of work. At Frost, w ...

Capital One

Compliance Advisor Manager

Wilmington, DE · On-site

Compliance Advisor Manager Corporate Compliance is seeking a Manager to support Capital One's Finance group. Finance is responsible for executing the overall financial management of Capital One ...

Capital One

Compliance Advisor Manager

Plano, TX

Compliance Advisor Manager Corporate Compliance is seeking a Manager to support Capital One's Finance group. Finance is responsible for executing the overall financial management of Capital One ...

Capital One

Compliance Advisor Manager

New York, NY · On-site

Compliance Advisor Manager Corporate Compliance is seeking a Manager to support Capital One's Finance group. Finance is responsible for executing the overall financial management of Capital One ...

Capital One

Compliance Advisor Manager

Richmond, VA · On-site

Compliance Advisor Manager Corporate Compliance is seeking a Manager to support Capital One's Finance group. Finance is responsible for executing the overall financial management of Capital One ...

Capital One

Compliance Advisor Manager

Plano, TX · On-site

Compliance Advisor Manager Corporate Compliance is seeking a Manager to support Capital One's Finance group. Finance is responsible for executing the overall financial management of Capital One ...

Capital One

Compliance Advisor Manager

Richmond, VA · On-site

Compliance Advisor Manager Corporate Compliance is seeking a Manager to support Capital One's Finance group. Finance is responsible for executing the overall financial management of Capital One ...

Capital One

Compliance Advisor Manager

Richmond, VA · On-site

Compliance Advisor Manager Corporate Compliance is seeking a Manager to support Capital One's Finance group. Finance is responsible for executing the overall financial management of Capital One ...

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Compliance Advisor information

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$95.7K

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How much do compliance advisor jobs pay per year?

As of Jul 15, 2026, the average yearly pay for compliance advisor in the United States is $95,687.00, according to ZipRecruiter salary data. Most workers in this role earn between $81,500.00 and $110,500.00 per year, depending on experience, location, and employer.

What does a compliance advisor do?

A compliance advisor ensures that organizations adhere to legal regulations, industry standards, and internal policies. They review procedures, conduct audits, and provide guidance to mitigate risks, often requiring knowledge of relevant laws and certifications such as compliance or risk management credentials.

What is the difference between Compliance Advisor vs Compliance Officer?

AspectCompliance AdvisorCompliance Officer
CredentialsCertifications like CCEP, CAMS, or ISO auditorSimilar certifications, often including CCEP or compliance-specific training
Work EnvironmentAdvises clients or internal teams, often in consulting or corporate settingsMonitors and enforces compliance within organizations, typically in corporate or regulatory environments
Employer & IndustryConsulting firms, financial institutions, healthcare, and corporate sectorsBanks, government agencies, healthcare providers, and corporations

Both roles focus on ensuring adherence to laws and regulations, but Compliance Advisors typically provide guidance and strategic advice, while Compliance Officers implement and monitor compliance programs within organizations.

What are Compliance Advisors?

Compliance Advisors are professionals who help organizations adhere to legal, regulatory, and policy requirements relevant to their industry. They assess company practices, identify potential compliance risks, and recommend solutions to ensure all operations meet necessary standards. Compliance Advisors often provide training, conduct audits, and act as a bridge between regulatory bodies and the company, helping to avoid legal issues and maintain ethical standards.

Will compliance be replaced by AI?

Compliance advisors use their expertise to interpret regulations, assess risks, and ensure organizations follow legal standards. AI tools can assist by automating routine tasks and analyzing large data sets, but human judgment remains essential for complex decision-making and ethical considerations in compliance roles.

What jobs pay $500,000 a year in the US?

High-paying roles for compliance advisors or similar professionals typically include executive-level positions such as Chief Compliance Officer or Chief Risk Officer, especially in large corporations or financial institutions. These roles often require extensive experience, advanced certifications, and leadership responsibilities, with salaries reaching or exceeding $500,000 annually including bonuses and incentives.

What are the key skills and qualifications needed to thrive as a Compliance Advisor, and why are they important?

To thrive as a Compliance Advisor, you need a strong understanding of regulatory frameworks, risk management principles, and typically a degree in law, finance, or a related field. Familiarity with compliance management systems, regulatory databases, and certifications such as Certified Compliance & Ethics Professional (CCEP) are often expected. Exceptional attention to detail, analytical thinking, and effective communication skills help build trust and ensure adherence to complex regulations. These competencies are crucial for minimizing legal risk, maintaining organizational integrity, and fostering a culture of compliance.

What Is a Compliance Advisor?

A compliance advisor specializes in compliance law. As a compliance advisor, your job duties are to provide legal advice to financial institutions, guide the company through the regulatory process, and ensure that their accounting and budgeting records meet all federal and state standards. Qualifications for this career include several years of similar compliance experience, preferably in a management role. In addition to a law degree, you should have a bachelor’s degree in accounting or finance, a firm understanding of government accounting and compliance practices, and strong written and verbal communication skills. Possessing a keen eye for detail and organizational skills is also crucial for this career.

What are some typical challenges a Compliance Advisor faces when working with cross-functional teams?

Compliance Advisors often collaborate with departments such as legal, operations, and finance to interpret and implement regulations. A common challenge is ensuring that all team members understand and adhere to complex compliance requirements, which may differ across regions or business units. Balancing regulatory demands with business objectives can require careful communication and negotiation. Strong relationship-building skills and a proactive approach to ongoing education help Compliance Advisors effectively support teams while minimizing risks.

What is the highest paying job in compliance?

The highest paying roles in compliance are often senior positions such as Chief Compliance Officer or Compliance Director, which can earn six-figure salaries. These roles typically require extensive experience, advanced certifications like Certified Compliance & Ethics Professional (CCEP), and leadership skills in managing regulatory risk across organizations.
More about Compliance Advisor jobs
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Compliance Advisor jobs near you
Compliance Advisor

Compliance Advisor

Principal Financial Group

Des Moines, IA • On-site, Remote

$104K - $150K/yr

Full-time

Retirement

Re-posted 12 days ago

Job description

What You'll Do

We’re looking for a Compliance Advisor to join our Principal Securities/Principal Funds Distributor (PSI/PFD) Compliance team! In this role, you'll assist compliance leadership in operating a comprehensive compliance program consisting of policies, procedures, and consultative guidance to business partners. Evaluate situations and provide strategic guidance to compliance with leadership and business partners on a variety of complex legal, regulatory, and compliance issues. Principal Funds Distributor, Inc. (PFD) is a limited-purpose broker-dealer supporting Principal’s domestic mutual fund, ETF and asset management product distribution to its sales and placement intermediaries, and Principal Securities, Inc. (PSI) is a dually registered broker-dealer and investment adviser supporting securities aspects of Principal’s insurance distribution, retirement record keeping services and an independent retail dual-registrant distribution.

You'll Also Have The Opportunity To:

  • Contribute to a broker-dealer and investment adviser compliance team accountable to Principal’s domestic fund, insurance and retirement product and service distribution.
  • Drive, and support the business’ drive, for more efficient and effective processes
  • Provide comprehensive research, analysis, and guidance on laws, regulations, and other complex compliance matters.
  • Evaluate compliance and business situations and clearly communicate guidance and decisions to business partners and management.
  • Participate on highly visible special projects critical to business unit and corporate growth initiatives.
  • Leverage data to provide in-depth analysis and reporting to help guide decision-making processes.
  • Assist in preparing for and responding to regulatory exams and other inquiries.
  • Contribute to organizational learning by mentoring and coaching less experienced compliance professionals.
  • Partner with the business to help design creative solutions for complex customer needs and business processes.
  • Build and sustain strong relationships with colleagues throughout the enterprise.
  • Perform other job-related duties or special projects as required.

Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!


Who You Are
  • 6+ years related experience (mutual fund and/or insurance carrier broker-dealer compliance experience preferred)
  • Bachelor’s degree, JD, or MBA considered in lieu of experience
  • Excellent written and oral communication skills
  • Advanced analytical, problem solving, and organizational abilities
  • High level of creativity and resourcefulness
  • Demonstrated application of robust data analysis and reporting capabilities
  • Experience in assessing and implementing process improvements
  • Mentoring and coaching experience
  • Demonstrated application of risk management frameworks and concepts
  • Ability to interact with regulatory bodies
  • Expert knowledge and experience with  mutual fund, ETF, private fund, variable insurance and/or group annuity products and services, and the related governing securities laws and regulations.
  • Deep understanding of fund complex, insurance carrier and/or retirement record keeping business operations
  • Good order for FINRA representative and principal registrations preferred

Salary Range Information
Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.
Salary Range (Non-Exempt expressed as hourly; Exempt expressed as yearly)
$104400 - $150000 / year
Salary Details

The following locations are examples of market-specific salary ranges across different geographies. 

  • Grand Island, NE: $104,400 - $122,400 / year
  • Des Moines, IA: $110,200 - $129,200 / year
  • Charlotte, NC: $116,000 - $136,000 / year
  • Chicago/Minneapolis: $127,600 - $149,600 / year
  • Los Angeles/New York City: $139,200 - $150,000 / year

Time Off Program
Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don't accrue a bank of time off under FTO and there is no set number of days provided.
Pension Eligible
Yes

Work Environments

This role offers in-office, hybrid (blending at least three office days in a typical workweek), and remote work arrangements (only if residing more than 30 miles from Des Moines, IA, Raleigh, NC or Charlotte, NC.). You’ll work with your leader to figure out which option may align best based on several factors.

Work Authorization/Sponsorship

At this time, we're not considering applicants that need any type of immigration sponsorship (additional work authorization or permanent work authorization) now or in the future to work in the United States. This includes, but IS NOT LIMITED TO: F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, etc. For additional information around work authorization needs, please use the following links.

Nonimmigrant Workers and Green Card for Employment-Based Immigrants

Investment Code of Ethics

For Principal Asset Management 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.

Experience Principal

At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our careers site to learn more about our purpose, values and benefits.

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.


Posting Window
We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline.
Original Posting Date
6/30/2026
Most Recently Posted Date
6/30/2026
 

Principal uses artificial intelligence tools to assist in reviewing and evaluating job applications, fraud prevention, and candidate matching and comparisons. These AI tools support our human recruiters in the initial review process but do not make final hiring decisions without human involvement. By submitting your application, you acknowledge this use of AI in our recruitment process. Please review our Workforce (U.S.) Privacy Notice for more details on our practices and your data privacy rights.


LinkedIn Remote Hashtag


#LI-RemoteQualifications:
  • 6+ years related experience (mutual fund and/or insurance carrier broker-dealer compliance experience preferred)
  • Bachelor’s degree, JD, or MBA considered in lieu of experience
  • Excellent written and oral communication skills
  • Advanced analytical, problem solving, and organizational abilities
  • High level of creativity and resourcefulness
  • Demonstrated application of robust data analysis and reporting capabilities
  • Experience in assessing and implementing process improvements
  • Mentoring and coaching experience
  • Demonstrated application of risk management frameworks and concepts
  • Ability to interact with regulatory bodies
  • Expert knowledge and experience with  mutual fund, ETF, private fund, variable insurance and/or group annuity products and services, and the related governing securities laws and regulations.
  • Deep understanding of fund complex, insurance carrier and/or retirement record keeping business operations
  • Good order for FINRA representative and principal registrations preferred
Education:UNAVAILABLEEmployment Type: FULL_TIME

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