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What Youll Do

Principal is seeking an AVP, Business and Risk Controls! Reporting to the Vice President, Retirement Operations, the Assistant Vice President of Business Risk & Controls leads all aspects of a team responsible for the development, implementation, and management of first-line risk and controls functions within the Retirement business segment. Establishes and implements business processes to align with enterprise policy standards and to minimize risk exposure and strengthen the overall business control environment.

  • Develops and owns the Retirement business anti-fraud program and ensures appropriate technology and process controls are in place to mitigate fraud risk within retirement accounts. Works closely with members of RIS leadership and second-line risk and control functions to develop and implement ongoing business fraud risk assessments, process reviews and leads improvement plans to optimize preventative and detection controls within the business unit. Leads team of first-line fraud analysts who perform business review on suspicious cases prior to critical issue to centralized investigations.
  • Implements first-line privacy awareness and vendor governance programs in accordance with enterprise standards. Ensures a control structure is in place that quickly identifies risk, facilitates execution of remediation plans and works closely with enterprise Risk and Compliance partners to resolve business gaps. R
  • Develops and maintains a business first-line risk and control management framework that defines strategies, program objectives, and business governance. Establishes daily metrics and periodic scorecards and senior level reporting to measure the efficiency of the business control environment. Actively participates in enterprise control governance and risk committee meetings. Leads first-line business control customer and leadership meetings. Represents the business at client meetings to discuss risk and control protocols and to address any emerging issues. Works with audit teams and internal business partners to ensure audit action plans are robust and are tightly led against established timing standards.
  • Implements the business incident response program and leads team who manage the daily operational and technology incidents. Communicates trending issues to senior leadership and client facing teams. Partnering closely with Technology, develop ongoing reporting of outages and develop an operational playbook to support the resolution of issues
  • Direct the planning, training, development, performance management and compensation of direct and indirect staff, as applicable

Who You Are

  • Bachelors degree or equivalent experience plus 10+ years of related work experience required
  • Solid understanding of fraud risk, fraud prevention controls, and shown experience leading a first-line or second-line fraud organization
  • Knowledge of privacy laws, regulations, and participation in industry forums
  • Multifaceted leadership experience in the Retirement or financial services industry
  • Validated proven understanding of operational risk tools and metrics (risk assessments, key risk indicators, loss/event reporting and incident tracking)
  • Shown ability to anticipate or identify risks and develop appropriate risk-smart remediation plans
  • Can work with ambiguity and thrives in a fast-paced, growing business environment serves as a motivator and champion of change
  • Proven track record to build productive working relationships with key customers, internal teams, clients, and senior leadership
  • Excellent oral and written communication skills, including significant influencing skills
  • Strong people leadership skills

Salary Range InformationSalary Range (Non-Exempt expressed as hourly Exempt expressed as yearly)Time Off ProgramPension EligibleAdditional Information

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, 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, were 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.

and

Nonimmigrant Workers

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

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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