Director Compliance, Chief Compliance Officer, Principal Global Investors Trust Company

• Oct 2022 - Present

Assistant Director Compliance Principal Global Investors, Compliance Officer PGITC

• Feb 2022 - Mar 2023

Principal Bank Compliance Officer

• Mar 2018 - Jan 2022

Securities products offered through Principal Securities, Inc., 800/247-1737, member SIPC. Advisory products offered through Principal Advised Services. Principal Advised services and Principal Securities, Inc. are members of the Principal Financial Group®, Des Moines, IA 50392. Brad Hanus, Principal Securities Registered Representative, Principal Advised Services Investment Advisor Representative

Compliance Advisor Team Lead

• Dec 2015 - Feb 2018

Chief Compliance Officer

• Mar 2018 - Mar 2022

Served as Chief Compliance Officer for Principal Advised Services and had accountability for all compliance functions. Served as Chief Compliance Officer for Principal Advised Services and had accountability for all compliance functions.

Lead Compliance Officer

• Mar 2013 - Nov 2015

Senior Compliance Officer

• May 2011 - Feb 2013

Review all incoming direct business including complicated VA review, Alternative Investments and NFS Brokerage trades. Work on a variety of compliance initiatives, including developing a multi-year audit plan and ensuring all advertising and sales material were in compliance with current regulatory standards. Series 4, 7, 24, 27, 53, 55, and 66 licenses.. Review all incoming direct business including complicated VA review, Alternative Investments and NFS Brokerage trades. Work on a variety of compliance initiatives, including developing a multi-year audit plan and ensuring all advertising and sales material were in compliance with current regulatory standards. Series 4, 7, 24, 27, 53, 55, and 66 licenses..

Compliance Advertising Analyst

• Nov 2008 - Jun 2010

Worked in a variety of compliance disciplines. Worked to create a firmwide social media initiative and worked with third party money manager vendor on testing their performance reporting standards and ensuring all material was compliant with applicable regulations. Reviewed all firm advertising materials including filing with FINRA, complex alternative investment reviews and third party money manager pieces. Worked in a variety of compliance disciplines. Worked to create a firmwide social media initiative and worked with third party money manager vendor on testing their performance reporting standards and ensuring all material was compliant with applicable regulations. Reviewed all firm advertising materials including filing with FINRA, complex alternative investment reviews and third party money manager pieces.

Operations Principal Cambridge Investment Research, Member FINRA/SIPC

• Jan 2008 - Nov 2008

Reviewed incoming direct business trades including VA's, UIT's, REIT's and DPP's. Additionally. I provided review of all escalated variable annuity trades making sure that they met industry standards and working with junior principals to educate them on key issues to address on these types of supervisory reviews. Reviewed incoming direct business trades including VA's, UIT's, REIT's and DPP's. Additionally. I provided review of all escalated variable annuity trades making sure that they met industry standards and working with junior principals to educate them on key issues to address on these types of supervisory reviews.