Senior Compliance Manager

Capital Group; New York (NY); On-site; USD 182,000 - 310,000; Full time

Job summary

Join a prestigious legal department at a leading asset management firm as a Senior Compliance Manager. In this pivotal role, you will lead a team of compliance professionals, ensuring adherence to regulatory standards across diverse investment offerings. Collaborate with experienced lawyers and client services teams to navigate complex compliance landscapes, enhance operational effectiveness, and mitigate risks. This is a unique opportunity to shape compliance strategies in a dynamic environment while making a significant impact on the business's success.

Qualifications

• Experience in compliance support for investment offerings and services.
• Ability to lead a team of compliance professionals effectively.

Responsibilities

• Provide compliance support for institutional clients and intermediaries.
• Oversee compliance for collective investment trusts and separate accounts.

Skills

Regulatory Compliance

Risk Management

Team Leadership

Legal Knowledge

Client Relationship Management

Education

CFA

MBA

Relevant Professional Qualifications

Job description

I can succeed as a Senior Compliance Manager at Capital Group.

We are recruiting a compliance professional to join our Legal & Compliance team, a group of highly experienced lawyers and compliance professionals with deep securities and investment advisory experience. This is an opportunity to join a prestigious legal department at one of the largest asset managers in the world. Capital Group is an evolving business in a highly regulated environment; this team is involved in guiding decisions that will make a major impact on the business. The Legal and Compliance group is a global team and is a critical resource for our business area assessments of risk to continuously educate, collaborate, and make recommendations to our business groups to ensure compliance with regulatory and legal requirements.

As a Senior Compliance Manager in our Client Services Compliance team, based in our Los Angeles office, you will be responsible for providing compliance support for a number of Capital Group’s investment offerings and services across multiple lines of business. These include institutional clients and intermediaries as well as supporting and overseeing the administration of collective investment trusts for retirement plan clients and intermediaries. You will lead and develop a team of approximately 5 - 7 compliance professionals focused on institutional client onboarding and activity in separate accounts and CITs, sponsor firms with Separately Managed Accounts (SMAs), administration of CITs, RFP support, and preparation of the investment advisers’ Form ADV, among other areas. You may participate in oversight committees and interface with clients and regulators related to the support of client activities. You will be expected to partner closely with our in-house Lawyers, other Compliance professionals, and our client services, distribution, and operations groups, to help identify and address risks and develop best practices.

I am the person Capital Group is looking for.

Staying current on internal and external trends and changes in regulatory practices with the aim of anticipating their impact on institutional business operations and implementing processes, procedures, and practices to ensure compliance with regulatory developments.

Oversees a team of associates within the Legal and Compliance group. Provides strategic direction and guidance to associates on complex business issues while ensuring operational effectiveness, with a focus on building scale.

Collaborates with attorneys to establish broad strategic initiatives for assigned areas. Participates in discussions at global and cross-functional levels by helping to develop strategic and tactical business recommendations, validate operational changes, and guide execution.

Participates in discussions with senior managers and attorneys to review, edit, and approve changes to policies, processes, procedures, and technology needs to ensure they align with business needs and are in compliance with regulatory developments.

Represents the Legal and Compliance group in interactions with internal departments and external entities.

CFA, MBA, or other relevant professional qualifications will be beneficial.

Southern California Base Salary Range: $171,968 - $292,346

New York Base Salary Range: $182,310 - $309,927