Compliance Lead
Capital Group · Los Angeles, United States · 24d ago
“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
“I can succeed as a Compliance Lead at Capital Group.”
As a Compliance Lead within our sales literature review team in Legal & Compliance, you will provide compliance oversight and review of marketing materials for retail and institutional investors in various investment vehicles, including ETFs, mutual funds, alternative investments, separately managed accounts, and collective investment trusts. You will work with global teams of highly experienced lawyers and compliance and risk professionals who work collaboratively to guide business decisions that make an impact in our highly regulated environment. Every day, you will provide guidance to internal stakeholders on the applicability of rules and regulatory requirements, internal guidelines and disclosure standards, and other risk related issues when reviewing communication materials. 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 policies.
“I am the person Capital Group is looking for.”
- You have in depth knowledge of various investment vehicles including ETFs, mutual funds, alternative investments, separate accounts, 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 department associates and providing guidance on applicable regulatory requirements.
- You have experience with the applicable advertising rules (e.g., SEC Marketing Rule, FINRA 2210 and 2212, SEC Rule 482, etc.) related to the implementation of required policies and procedures as well as application of the rules to advertisements.
- You're able to apply critical thinking and sound regulatory judgment when evaluating recordkeeping requirements for marketing communications, ensuring marketing materials, approvals, supporting substantiation, and related review records are maintained in accordance with SEC, FINRA, and firm recordkeeping standards.
- Attention to detail is a key attribute by which you define yourself. 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 and take initiative to simplify and scale without sacrificing quality.
- You place high value on being authentic, respectful, and engaging. Your actions demonstrate that you value collaboration and different perspectives.
- By asking great questions and bouncing ideas off others, you proactively share your perspective and listen to other perspectives with an open mind. You’re a skilled communicator and thrive in team settings, at the same time, you are a self-starter who excels when 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.
“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.
Charlotte Base Salary Range: $136,749-$218,798
Southern California Base Salary Range: $159,354-$254,966
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.