Compliance Lead - 12m FTC

CGCG-US CG Companies Global-US; Greater London; On-site; GBP 90,000 - 130,000; Full time

Benefits offered by this job

Competitive salary & bonuses

Company retirement contribution

Generous time-off & health benefits

Flexible work options

Professional development resources

Job summary

Capital Group in the UK is seeking a Compliance Lead to execute the compliance monitoring plan and support regulatory change initiatives in the European and Global investment management space.

You will work on developing monitoring plans, conducting ongoing reviews, and presenting findings to senior management while collaborating across departments to ensure timely remediation and robust regulatory alignment.

Qualifications

• In-depth knowledge of financial services with experience in European and Global investment management regulation.
• Compliance monitoring experience.
• Strong commitment to quality, accuracy and attention to detail.
• Strong written and oral communications skills with team members and managers.
• Able to present project outcomes to stakeholders.
• Curious and enquiring mindset for analyzing regulations.
• Willingness to challenge the status quo.
• Excellent relationship and influencing skills.
• Self-starter able to work independently.

Responsibilities

• 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 development of corrective action plans.
• Collaborating with departments to ensure findings are understood and remediation plans are followed through.
• Assisting in preparing compliance monitoring reports for senior management.
• Supporting internal business departments with responses to queries or troubleshooting issues.
• Leading research and assessment of new or changing regulation relevant to Capital Group in the UK and supporting Luxembourg/Switzerland coverage.
• Assessing potential regulatory impact of new or changing regulations.
• Maintaining the regulatory change log in collaboration with the team.
• Preparing and presenting compliance-related materials to committees.
• Raising awareness and educating associates on regulatory change.
• Participating in regulatory change projects.
• Collaborating with Legal, Compliance and Risk teams on broader requirements.
• Performing additional duties as assigned.

Skills

Regulatory knowledge

Compliance monitoring

Quality & attention to detail

Written & verbal communication

Stakeholder influence

Independent work

Regulatory change analysis

Confidentiality & integrity

AI tools utilization

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.

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,