Role summary
A key member of the UK compliance team, this compliance senior specialist role is a new role that will be responsible for regulatory change as well as supporting compliance monitoring. In-depth knowledge of financial services is required with proven experience of the European and Global investment management regulatory environment.
Every person within the European L&C team is responsible for legal, regulatory, and compliance work and is expected to work with other associates across multiple jurisdictions. The precise requirements of the role will develop over time in response to the changing needs of the business, however, we would expect the successful candidate to have the following main responsibilities:
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Primary responsibilities/essential functions
- Leading on the researching, analyzing, and assessing of new and changing regulation and laws that are relevant to Capital Group in the UK. In addition, providing support to local teams who are responsible for coverage of Luxembourg and Switzerland.
- Responsible for the assessment of new/changing regulation and laws to determine the potential impact for Capital Group.
- Maintaining the regulatory change log.
- Preparing, and presenting compliance presentations in relation to regulatory change to L&C, Committees and Boards.
- Raising awareness and educating associates on regulatory change.
- Participating and/or leading regulatory change projects.
- Assisting in the development and implementation of compliance monitoring plans.
- Conducting regular ongoing and thematic compliance monitoring to ensure compliance with internal policies and external regulations.
- Preparing compliance monitoring reports, including the development of corrective action plans.
- Collaborating with various departments to ensure compliance monitoring findings are understood and remediation plans agreed. Following up until remediation is completed.
- Assisting in the preparation of compliance monitoring reports for senior management.
- Providing support to the investment advisory team as needed.
- Assisting other team members to support the need of internal business departments with responses to queries or troubleshooting issues.
- Establishing and developing external networks with industry associations to gather intelligence and advise the business of relevant developments.
- Collaborating with other members of the L&C team on broader requirements and projects, supporting various compliance initiatives across the Firm.
- Performs additional responsibilities as assigned.
Skills/qualifications
- In-depth knowledge of financial services required with proven experience of the European and Global investment management regulatory environment.
- A curious and enquiring mindset, with the ability to analyse, assess and make judgements on regulations.
- Happy to challenge the status quo.
- Excellent relationship and influencing skills with the ability to explain complex topics.
- Self-starter with the ability to work independently
- Brings energy and enthusiasm to the environment.
- Strong commitment to quality, accuracy and attention to detail.
- Effective written and oral communications skills with team members and managers.
- Ability to prioritize work and complete in a timely manner.
- Ability to adapt to the needs of a growing business.
- Instills trust and has the ability to maintain a high level of confidentiality and integrity.
- Ability to utilize technology to enhance and automate, refine, and streamline processes.
Core requirements:
- Degree / 5+ years of asset management experience.
- Able to speak, draft and work in English; second language a preference.
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.