Senior Compliance Manager

Company: Capital Group
Location: New York
Posted on: November 2, 2024

Job Description:

"I can succeed as a Senior Compliance Manager at Capital Group."We are recruiting for a compliance professional to join our Legal & Compliance team, a group of highly experienced lawyers and compliance professionals with deep securities and investment advisory experience. This is an opportunity to join a prestigious legal department at one of the largest asset managers in the world. Capital Group is an evolving business in a highly regulated environment; this team is involved in guiding decisions that will make a major impact on the business. The Legal and Compliance group is a global team and is a critical resource for our business area assessments of risk to continuously educate, collaborate, and make recommendations to our business groups to ensure compliance with regulatory and legal requirements.As a Senior Compliance Managerin our Client Services Compliance team, based in our Los Angeles office, you will be responsible for providing compliance support for a number 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. In addition, you will lead and develop a team of approximately 5 - 7 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. You may participate in oversight committees and interface with clients and regulators related to the support of client activities. You will be expected to partner closely with our in-house Lawyers, other Compliance professionals and our client services, distribution and operations groups, to help identify and address risks and develop best practices."I am the person Capital Group is looking for."

• Staying current on internal and external trends and changes in regulatory practices with the aim of anticipating the impact of those trends and changes will affect institutional business operations and implementing processes, procedures, and practices to ensure compliance with regulatory developments.
• Oversees a team of associates within the Legal and Compliance group. Provides strategic direction and guidance to associates on complex business issues while ensuring operational effectiveness, with a focus on building scale.
• Collaborates with attorneys to establish broad strategic initiatives for assigned areas. Participates in discussions at global and cross-functional capacity by helping to develop strategic and tactical business recommendations, validate operational changes and guide execution.
• Participates in discussions with senior managers and attorneys to review, edit and approve changes to policies, processes, procedures and technology needs to ensure they align with business needs and are in compliance with regulatory developments.
• Represents the Legal and Compliance group in a variety of interactions with internal departments and external entities.
• CFA, MBA or other relevant professional qualifications will be beneficialSouthern California Base Salary Range: $171,968-$292,346New York Base Salary Range: $182,310-$309,927In 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 .* 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.

Keywords: Capital Group, New Haven , Senior Compliance Manager, Executive , New York, Connecticut