Compliance Lead - 12m FTC

“I can be myself at work.”

You are more than a job title. We want you to feel comfortable doing great work and bringing your best, authentic self to everything you do. We value your talents, traditions, and uniqueness—and we’re committed to fostering a strong sense of belonging in a respectful workplace.  

We intentionally seek diverse perspectives, experiences, and backgrounds, investing in a culture designed to celebrate differences. We believe that belonging leads to better outcomes and a stronger community of associates united by our mission. At Capital, we live our core values every day: Integrity, Client Focus, Diverse Perspectives, Long-Term Thinking, and Community. 

“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 factor in salary and variable 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 

A member of the UK compliance team, this compliance lead role will be responsible for executing the compliance monitoring plan and supporting other core compliance initiatives, such as regulatory change. In-depth knowledge of financial services is required with proven experience of the European and Global investment management regulatory environment.

Every member of the Compliance team is expected to work collaboratively 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, initially we would expect the successful candidate to have the following main responsibilities:

Primary responsibilities/essential functions

• 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.
• Assisting other team members to support the needs of internal business departments with responses to queries or troubleshooting issues.
• Leading on the research, analysis, and assessment 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.
• Assessment of new/changing regulation and laws to determine the potential impact for Capital Group.  
• Collaborating with the team to maintain the regulatory change log.
• Preparing and presenting compliance presentations in relation to regulatory change to L&C and functional committees.
• Raising awareness and educating associates on regulatory change.
• Participating in regulatory change projects.
• Collaborating with other members of the Legal, Compliance and Risk teams 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.
• Compliance monitoring experience required.
• Strong commitment to quality, accuracy and attention to detail.

• Strong written and oral communications skills with team members and managers.

• At ease presenting project outcomes to stakeholders
• 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.

• 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 including AI tools to enhance and automate, refine, and streamline processes.

Core requirements:

• Degree / 10+ years of asset management experience.

• Experience of Compliance monitoring

• Able to speak, draft and work in English with a high level of confidence; second language a preference.

“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 9,000 associates in 30+ offices around the world help our clients and each other grow and thrive every day. Find us on LinkedIn, Instagram, YouTube and Glassdoor.‎ 

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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 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.