Compliance Lead

“I can succeed as a Compliance Lead at Capital Group.” 

We are recruiting for a Compliance Lead for our Client Services Compliance Team which provides compliance support for several of Capital Group’s investment offerings and services across multiple lines of business. These include institutional clients and intermediaries as well as supporting and overseeing the administration of collective investment trusts for retirement plan clients and intermediaries.

You will be a member of a team of compliance professionals focused on institutional client onboarding and activity in separate accounts and CITs, sponsor firms with Separately Managed Accounts (SMAs), administration of CITs, RFP support, and preparation of the investment advisers’ Form ADV, among other areas. As a Compliance Lead, you will serve as a compliance subject matter expert, providing direction and leadership to your team. You’ll support the needs of internal departments across Capital Group and external entities, including the completion of regulatory business filing, and client and/or trading agreements. You will answer questions, train, inform, and provide recommendations for Capital Group’s policies and procedures. You are highly observant and have a great amount of anticipation. This helps you prepare materials in a comprehensive manner, ensuring nothing is missed. You’ll consult with our management teams to develop effective supervisory controls. In partnership with upper-level management, you’ll focus on strategic needs to understand where the business is moving and help anticipate risks associated with those changes. 

“I am the person Capital Group is looking for.” 

• You have 8+ years of compliance experience within financial services, or you have a legal background. You have a great level of anticipation and thorough training in interpreting regulations and policies.  

• Throughout your professional career, you’ve developed sound judgment by using a combination of deep, relevant experience and analytical skills. You interpret evidence to make decisions and are well-versed in assembling facts and developing arguments for and against opinions. 

• You are well-versed in navigating ambiguity. You have examples of times when you’ve acted without knowing all the details and confidently taken risks. You plan for various scenarios with alternative solutions, and you fully embrace change.  

• You can synthesize obscure information into simplified points that tell a cohesive story. You’re a quick thinker who uses process and reason to tackle your workload. 

• You ask great questions, bounce ideas off others, and share your perspective with conviction. You take the time to create and maintain meaningful relationships. You’re a generous collaborator who is trustworthy and dependable. 

• You’ve fine-tuned your communication style to influence a variety of personalities. You appreciate the importance of mindful communication when working within an inclusive environment.

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Southern California Base Salary Range: $153,965-$246,344

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New York Base Salary Range: $163,212-$261,139

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In addition to a highly competitive base salary, per plan guidelines, restrictions and vesting requirements, you also will be eligible for an individual annual performance bonus, plus Capital’s annual profitability bonus plus a retirement plan where Capital contributes 15% of your eligible earnings.

You can learn more about our compensation and benefits here.

* Temporary positions in Canada and the United States are excluded from the above mentioned compensation and benefit plans.

We are an equal opportunity employer, which means we comply with all federal, state and local laws that prohibit discrimination when making all decisions about employment. As equal opportunity employers, our policies prohibit unlawful discrimination on the basis of race, religion, color, national origin, ancestry, sex (including gender and gender identity), pregnancy, childbirth and related medical conditions, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, citizenship status, AIDS/HIV status, political activities or affiliations, military or veteran status, status as a victim of domestic violence, assault or stalking or any other characteristic protected by federal, state or local law.