Senior Compliance Lead

Capital Group
retirement plan
United States, California, Los Angeles
May 07, 2024
"I can succeed as a Senior Compliance Lead at Capital Group." As a Senior Compliance Lead on our Client Services team, you will oversee and help negotiate contracts and provide compliance support for a number of Capital Group's investment offerings and services. In particular, you will, with oversight of Legal: Review legal agreements such as those for Separately Managed Accounts (SMAs), Institutional clients (including 1940 Act Sub-advisory clients), Trading (e.g., ISDAs, Futures Clearing Merchant, Tri-party Control Agreements, Authorized Participant agreements for ETFs), and related amendments, Identify appropriate issues for discussion or escalation to counsel and/or business groups, Understand, interpret and advise on contractual provisions and propose solutions, Draft contract language as needed and ensure they meet Capital Group standards, Negotiate the contracts by discussing, providing examples, and making arguments to support Capital Group's position, and Assist, or take the lead, in related projects. To thrive in this role, you have excellent contract negotiation and communication skills. You have a keen ability to read, analyze, and interpret information. You understand and can assess risk and how it can impact the organization, can exercise good judgment, and know when to escalate appropriately and drive solutions. You can provide direction and train others both within and outside of Compliance. You pride yourself on building meaningful relationships, collaborating or partnering with others, and establishing trust. "I am the person Capital Group is looking for." You have at least 5 years of relevant industry experience in negotiating contracts in at least one of the following areas: SMAs, Institutional Clients, and Derivatives. You have expert knowledge of contract language and concepts regarding contracts and can communicate appropriately with clients and their legal representatives. You can manage competing priorities and work well in a deadline-driven environment. You are comfortable when priorities shift, and you manage change with steadfast composure. You are able to lead/participate in departmental and interdepartmental projects to create new processes, such as for new/changing regulations, and help resolve cross-group business issues. You have a track record of improving and enhancing processes within your area of expertise. You act as the first point of contact for external business partners. You respond to questions and inquiries from the client relationship teams or clients, escalating matters to Compliance management and attorneys as necessary. You can make decisions on complex compliance-related matters, even without perfect information, seeking input from department manager or attorneys as necessary. You are detail-oriented and ensure nothing slips through the cracks. You have a bachelor's degree. 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.