Compliance Lead

Req ID: 51264

Location: Los Angeles, CA

Other location(s): Carmel (IN); Chicago (IL); Irvine (CA); Los Angeles West (CA); New York (NY); San Antonio (TX)

Relocation benefits offered: Yes

Travel required: a. Up to 25%

"I can be myself at work."

You define yourself by more than just a job title, and we want you to feel comfortable bringing your true self to work. We value your talents, your traditions and your take on the world everything that makes you unique. We're working hard to advance diversity, equity and inclusion in our organization and our communities because we know that what makes us different makes us better.

We want you to feel a strong sense of belonging. We value and welcome your experiences, ideas and identity. Over 40 employee resource groups unite our people and help to develop our collective empathy through unfiltered conversations about race, ethnicity, gender, gender identity, sexual orientation, faith, disabilities, mental health and so much more.

"I can influence my income."

You want to feel recognized at work. Your performance will be reviewed annually, and your compensation will be designed to motivate and reward the value that you provide. You'll receive a competitive salary, bonuses and benefits. Your company-funded retirement contribution will be the equivalent of 15% of your annual pay (including bonuses).

"I can lead a full life."

You bring unique goals and interests to your job and your life. Whether you're raising a family, you're passionate about where you volunteer, or you want to explore different career paths, we'll give you the resources that can set you up for success.

• Enjoy generous time-away and health benefits from day one, with the opportunity for flexible work options

• Receive 2-for-1 matching gifts for your charitable contributions and the opportunity to secure annual grants for the organizations you love

• Access on-demand professional development resources that allow you to hone existing skills and learn new ones

NOTE: Our recruiting process is 100% virtual, which should help with the logistics of your candidate journey. We have transitioned to a hybrid work model, which means our associates are working from home 4 days and week and coming into the office 2 days a week with Wednesday as an anchor day.

"I can succeed as a Compliance Lead at Capital Group"

Demonstrates full knowledge in assigned area and is an experienced individual contributor. Serves as a subject matter expert providing direction and leadership on compliance and other topics. Supports the compliance needs of internal departments and external entities, including completion of regulatory business filings, answering questions and providing recommendations for, and information about, Capital's policies and procedures. Called upon to lead projects for Legal and Compliance and externally where subject matter expertise is required.

Responsibilities:

• Researches, collects and reviews documents for regulatory exams, audits and legal processes. Acts as the first point of contact for external entities. Responds to questions and inquiries escalating matters to Compliance management team and attorneys as necessary.

• Ensures internal departments are current with compliance policies and regulations. May train business areas on compliance processes.

• Analyzes new regulations and impact of implementation to business practices. Proposes appropriate solutions in response to new regulations and proposes implementation strategies.

• Leads/participates in departmental and interdepartmental projects to create new processes and resolve cross-group business issues.

• Trains more junior associates.

• Reviews a portion of electronic communications sent by various sales department associates to ensure compliance with various rules and regulations.

• Assists business leadership in developing effective supervisory controls.

• Supports internal departments in the development of new tools, processes and procedures (e.g. expense management/Concur, Jabber, collaborative applications, digital sales, etc.)

• Anticipates, identifies and resolves compliance related issues as they arise.

• Focuses on the strategic needs of business leaders to understand where they are moving the business and anticipates risks associate with those changes.

Skills/Qualifications:

• Demonstrates sound judgment, nimble learning, a high degree of intellectual curiosity and the ability to deal with ambiguity to resolve matters of high complexity.

• Demonstrates decision making skills based on thorough analysis, expertise and judgment.

• Demonstrates ability to comfortably handle risk and uncertainty to effectively cope with ambiguous situations.

• Demonstrates ability to collaborate and develop/maintain working relationships with senior level associates throughout Capital Group to enable effective completion of business objectives.

• Demonstrates highly effective written and oral communications skills with a diverse group of associates, senior business leaders and individuals outside the organization.

• Demonstrates broad knowledge of AFD's and Capital Group's functions, policies, practices, procedures and systems.

• Demonstrates ability to interpret regulations and policies and apply judgement to business issues accordingly.

"I can apply in less than 4 minutes."

You've reviewed this job posting and you're ready to start the candidate journey with us. Apply now to move to the next step in our recruiting process. If this role isn't what you're looking for, check out our other opportunities and join our talent community.

"I can learn more about Capital Group."

At Capital Group, the success of the people who invest with us depends on the people in whom we invest. That's why we offer a culture, compensation and opportunities that empower our associates to build successful and prosperous careers. Through nine decades, our goal has been to improve people's lives through successful investing. We know that our history is a testament to the strength of the people we hire. More than 7,800 associates in 30+ offices around the world help our clients and each other grow and thrive every day. Find us on LinkedIn, Glassdoor, FairyGodBoss, DiversityJobs and Instagram.

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.

Nearest Major Market: Los Angeles
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