Tara Hulse
Regional Compliance Director at Principal Financial Group | Raleigh-Durham-Chapel Hill Area
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Tara Hulse serves as the Regional Compliance Director at Principal Financial Group, where she leverages over 15 years of extensive experience in the financial services and insurance industry to drive compliance excellence and risk mitigation strategies. In her current role, Tara is responsible for overseeing compliance frameworks and ensuring adherence to regulatory requirements across various business units. Her expertise in General Securities (Series 7) and Registered Principal (Series 24) enables her to navigate complex compliance landscapes effectively, providing invaluable insights and guidance to her team and stakeholders.
One of Tara’s key projects involves the implementation of enhanced training programs aimed at elevating compliance awareness among financial advisors and brokerage staff. By utilizing her public speaking skills and deep understanding of compliance protocols, she has successfully designed and delivered engaging training sessions that not only inform but also empower employees to adopt best practices in their daily operations. Additionally, Tara plays a pivotal role in internal audits, where she assesses compliance risks and develops actionable strategies to address potential gaps, thereby reinforcing the organization’s commitment to ethical practices.
Her proficiency in 401(k) retirement savings plans and 529 plans further enriches her contributions, as she ensures that these investment products meet regulatory standards while aligning with the financial goals of clients. Tara's commitment to continuous improvement and change management has positioned her as a trusted leader within Principal Financial Group, fostering a culture of compliance that prioritizes both risk mitigation and client satisfaction. Through her strategic initiatives, Tara not only safeguards the organization but also enhances its reputation as a leader in the financial services industry.
Regional Compliance Director at Principal Financial Group in April 2019 to Present
Regional Director of Field Supervision Wholesale at Principal Financial Group in July 2017 to January 2019
Regional Director of Field Supervision Retail at Principal Financial Group in September 2015 to July 2017
Regional Compliance Director Registered Principal and General Securities Registered Representative at Principal Financial Group in January 2012 to September 2015
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Compliance Regulations
Training
Analytical Skills
Risk Management
Series 24
FINRA SERIES 7
Investment Advisory
Investments
Deferred Compensation
Brokerage
Life Insurance
Retirement Planning
Mutual Funds
Securities
Financial Advisory
Financial Services
401(k) Retirement Savings Plans
Internal Audit
Auditing
Regulatory Compliance
Life insurance
Annuities
Sales
Financial Services Industry
Management
Public Speaking
Variable Annuities
Defined Benefit
Uniform Combined State Law
403 b
529 Plans
Field Supervision
MSRB
Sales Supervision
Correspondence oversight
OSJ
Branch Examinations
Branch Operation
Email Supervision
Retail Financial Services
Regulatory Examinations
Independent Testing
Registered Principal
FINRA SERIES 24
FINRA SERIES 53
FINRA SERIES 66
Compliance
Writing
Multi-Industry Experience
Insurance
Leadership
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Discover more about Principal Financial GroupWhat is Tara Hulse email address?
Email Tara Hulse at [email protected]. This email is the most updated Tara Hulse email found in 2026.
What is Tara Hulse phone number?
Tara Hulse phone number is +15152080041.
How to contact Tara Hulse?
To contact Tara Hulse send an email to [email protected]. If you want to call Tara Hulse try calling on +15152080041.
What company does Tara Hulse work for?
Tara Hulse works for Principal Financial Group
What is Tara Hulse's role at Principal Financial Group?
Tara Hulse is Regional Compliance Director
What industry does Tara Hulse work in?
Tara Hulse works in the Financial Services industry.
Tara Hulse Email Addresses
Tara Hulse Phone Numbers
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