Compliance Lead - 12M Ftc

Capital Group; England; On-site; GBP 90,000 - 130,000; Full time

Job summary

Capital Group is seeking a Compliance Lead in the UK to execute the monitoring plan and support regulatory initiatives across the firm. You will work collaboratively with teams across jurisdictions and stay ahead of regulatory changes impacting asset management.

The role requires a degree and 10+ years of asset management experience, with strong monitoring capabilities, excellent communication, and the ability to influence stakeholders. A proactive, independent mindset is essential.

Qualifications

• Degree required and 10+ years of asset management experience.
• Experience of compliance monitoring.
• Ability to speak, draft and work in English with high confidence; second language preferred.

Responsibilities

• Assist in developing and implementing compliance monitoring plans.
• Conduct ongoing and thematic compliance monitoring per internal policies and external regulations.
• Prepare monitoring reports and corrective action plans.
• Collaborate with departments to understand findings and remediation progress until completion.
• Support regulatory change tracking and presentations to committees.
• Lead research and assessment of new/change regulations relevant to Capital Group in the UK.

Skills

Compliance monitoring

Regulatory knowledge

English communication

Stakeholder influence

Education

Degree

Job description

“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.