Regulated Document Specialist at Principal Financial Group (Des Moines, IA)

| Des Moines, IA
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As a Regulated Document Specialist on the Shareholder Services team, you'll assist with the production and distribution of regulated documents, and work collaboratively with the team to ensure projects are executed efficiently, accurately, and timely. We are looking for someone who has a keen eye for detail and is an experienced user of Excel and SharePoint to join our team and help make an impact!

  • Coordination: Production and distribution of regulated documents in accordance with established authorities. Review and monitor production quality and timing. Distribute documents to appropriate parties. Maintain document retention.
  • Customer Service/Relationship Management: Serve as initial point of contact for incoming inquiries from both internal and external sources. Communicate items with team/manager in daily team meetings.
  • Innovation: Review and analyze client documents, processes, and workflow procedures to identify opportunities and solutions to improve workflow, procedures and processes.
  • Blue Sky Filings: Perform vendor oversight activities. Provide direction to vendor related to fund actions. Perform analysis of monthly invoices for state and professional fees, and ensure appropriate accounting allocations are executed.
  • Perform other job-related duties or special projects as required.
  • This position requires successful completion of a credit history check.

This position is also a great way to advance your career. As a growing company with over 14,000 employees around the world, Principal offers a lot of ways for you to learn more, earn more and achieve more. That's one reason we were named/recognized as one of Forbes America's Best Employer's.


  • Requires high school diploma (some college course work preferred) and 4-6 years related experience
  • Good problem solving, time management, organizational and oral and written communication skills required
  • Must be detail oriented, able to maintain a high degree of accuracy, meet established deadlines, able to handle multiple tasks and prioritize effectively
  • Must be a self-starter, have good customer services skills and be able to effectively communicate with internal and external contacts
  • Ability to learn systems and applications used within the firm required
  • Knowledge of, or the ability to develop, the funds business and regulated document distribution requirements associated with it, including state and federal securities laws (eg Investment Company Act of 1940)
  • Intermediate to advanced skills in Excel and SharePoint are 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

$36600 - $70800 / year

Additional Information

Work Authorization/Sponsorship

At this time, we're not considering candidates that need any type of immigration sponsorship now or in the future or those needing work authorization for this role. (This includes, but is not limited to students on F1-OPT, F1-CPT, J-1, etc.)

Investment Code of Ethics

For Principal Global Investors 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

While our expertise spans the globe, we're bound by one common purpose: to foster a world where financial security is accessible to all. And our success depends on the unique experiences, backgrounds, and talents of our employees - individually and all of us together. Explore our core values, benefits and why we're an exceptional place to grow your career.

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.

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More Information on Principal Financial Group
Principal Financial Group operates in the Fintech industry. The company is located in Des Moines, IA. Principal Financial Group was founded in 1879. It has 18000 total employees. It offers perks and benefits such as Flexible Spending Account (FSA), Disability Insurance, Dental Benefits, Vision Benefits, Health Insurance Benefits and Life Insurance. To see all 75 open jobs at Principal Financial Group, click here.
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