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
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
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