Karen Schmidt
Pleasant Hill
Summary
Results-driven Ethics and Compliance Officer with a proven track record at Principal Financial Group Inc. Skilled in compliance monitoring and internal audits, I developed robust programs that enhanced regulatory adherence and operational efficiency. Adept at collaborating with teams, I fostered a culture of compliance through effective training and proactive gap identification.
Overview
33
33
years of professional experience
Work History
Ethics and Compliance Officer
Principal Financial Group Inc
Des Moines, IA
01.2008 - 12.2018
- Developed and implemented compliance programs ensuring adherence to regulatory requirements.
- Conducted regular audits identifying compliance gaps and recommending corrective actions.
- Provided training sessions to staff on compliance policies and procedures enhancing overall awareness.
- Collaborated with cross-functional teams to streamline compliance processes improving operational efficiency.
Internal Auditor
Principal Financial Group Inc
Des Moines, IA
01.1986 - 12.2008
- Conduct audits to assess compliance with internal controls and regulatory requirements.
- Develop audit plans based on risk assessments and organizational objectives.
- Collaborate with cross-functional teams to enhance operational efficiencies and internal processes.
Education
Bachelor of Science - Accounting
Upper Iowa University
Fayette, Iowa, IA01-1989
Skills
- Compliance monitoring
- Document review
- Auditing processes
- Internal audits
Timeline
Ethics and Compliance Officer
Principal Financial Group Inc
01.2008 - 12.2018
Internal Auditor
Principal Financial Group Inc
01.1986 - 12.2008
Bachelor of Science - Accounting
Upper Iowa University