"I can succeed as a Senior Compliance Lead at Capital Group."
As a Senior Compliance Lead within our sales literature review team, you will provide compliance oversight and review of marketing materials, including for the fast-paced institutional business, regarding various investment vehicles, such as separately managed accounts, alternative investments, collective investment trusts, ETFs, and mutual funds. You will join a global group of highly experienced lawyers and compliance professionals who work collaboratively to guide business decisions that make an impact in our highly regulated environment. You will provide guidance to internal stakeholders from the business, sales, and marketing on the applicability of rules and regulatory requirements, internal guidelines, disclosure standards, and other risk-related issues related to marketing materials.
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To thrive in this role, you're experienced in reviewing marketing communications, you enjoy providing necessary guidance to writers and others, and you are passionate about staying informed about advertising and sales literature regulatory requirements.
"I am the person Capital Group is looking for."
- You have in depth knowledge of various investment vehicles including ETFs, mutual funds, separate accounts, alternative investments, SMAs and CITs, and experience with the regulatory framework applicable to marketing communications used by broker/dealers and RIAs to offer and promote the vehicles.
- You're well versed in the rules governing securities advertising and have detailed knowledge of investment and economic concepts. You're comfortable acting as a subject matter expert with marketing and business partners and providing guidance on applicable regulatory requirements.
- You have experience with the SEC Marketing Rule related to the implementation of required policies and procedures as well as application of the Rule to advertisements.
- Attention to detail has always been your thing. You're highly observant and can identify opportunities to enhance the control environment through sound business recommendations.
- You're familiar with project life cycles and are motivated to meet deadlines without sacrificing quality. Your resilience has helped when you've enlisted the help of others, sifted through large data sets, re-prioritized, strategized, tailored communication, embraced conflict and identified critical issues.
- You are able to manage competing priorities. You are comfortable when priorities shift, and you manage change with steadfast composure.
- You are comfortable leveraging technology to improve efficiency.
- You are a skilled communicator who will navigate interactions with Capital's analytics groups to help craft responsive communications to client requests.
- By asking great questions and bouncing ideas off others, you proactively share your perspective. You're a skilled communicator and thrive in team settings by being authentic, respectful, and engaging. At the same time, you enjoy working independently.
- You appreciate the sense of accomplishment achieved when a job is done right, or you solve a problem using your good judgment.
- FINRA Series 7 & 24 licenses preferred.
Southern California Base Salary Range: $148,045-$236,872
New York Base Salary Range: $156,935-$251,096
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.