Compliance Lead

capgroup; Los Angeles (CA); Hybrid; USD 150,000 - 210,000; Full time

Benefits offered by this job

2-for-1 matching gifts

Annual grants

On-demand professional development

Flexible work options

Job summary

Capital Group in Los Angeles seeks a Compliance Lead within our Legal & Compliance sales literature review team to oversee and review marketing materials for retail and institutional investors across ETFs, mutual funds, and other vehicles.

You will guide writers on regulatory requirements, interpret SEC and FINRA guidelines, and work with global lawyers and risk professionals to ensure compliant communications and substantiation, while staying current on evolving rules.

Qualifications

• In-depth knowledge of the regulatory framework governing marketing communications.
• Experience applying SEC/FINRA advertising rules to materials.

Responsibilities

• Provide compliance oversight and review of marketing materials for retail and institutional investors across ETFs, mutual funds, and other vehicles.
• Guide writers and editors on regulatory requirements and disclosure standards.
• Collaborate with global teams of lawyers and risk professionals to ensure compliant communications.

Skills

Regulatory knowledge

Advertising rules

Attention to detail

Cross-functional collaboration

Communication skills

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

"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