Capital Group Companies

Portfolio Implementation Compliance Analyst

Capital Group Companies
Irvine, CA, USA
Full-TimeDepends on ExperienceSenior LevelMasters
Job Description

Are you a detail-oriented individual with a strong understanding of investment compliance regulations? Do you have a passion for ensuring accuracy and efficiency in portfolio implementation processes? If so, we invite you to join our team at Capital Group Companies as a Portfolio Implementation Compliance Analyst. In this role, you will play a critical role in ensuring our investment portfolios adhere to all regulatory requirements. We are seeking candidates who possess a keen eye for detail, exceptional analytical skills, and a strong understanding of investment compliance. If you are ready to make a significant impact in the world of finance, we encourage you to apply today.

  1. Monitor and ensure compliance with all relevant investment regulations, policies, and procedures.
  2. Conduct regular reviews and audits of portfolio implementation processes to identify any potential compliance issues.
  3. Collaborate with various teams, including portfolio managers, legal and risk management, to develop and implement compliance strategies.
  4. Review and analyze investment guidelines and restrictions to ensure accurate and timely implementation.
  5. Identify and report any potential compliance breaches or violations and work to resolve them in a timely and effective manner.
  6. Stay up-to-date with industry regulations and best practices, and make recommendations for process improvements to ensure ongoing compliance.
  7. Participate in compliance training and educate team members on compliance policies and procedures.
  8. Maintain accurate records and documentation of compliance activities.
  9. Communicate and collaborate effectively with internal and external stakeholders to address compliance-related inquiries.
  10. Assist in the development and implementation of new compliance initiatives and projects.
  11. Analyze data and generate reports to track compliance metrics and identify areas for improvement.
  12. Continuously monitor and assess the effectiveness of compliance controls and procedures and make recommendations for enhancements as needed.
  13. Proactively identify potential risks and provide solutions to mitigate them.
  14. Uphold a high level of professionalism and confidentiality in all compliance-related matters.
  15. Take ownership of compliance-related tasks and ensure timely completion.
Where is this job?
This job is located at Irvine, CA, USA
Job Qualifications

  • Strong Understanding Of Investment Regulations And Compliance Standards: The Ideal Candidate Should Have A Deep Understanding Of Investment Regulations And Compliance Standards, Including Sec And Finra Rules.

  • Experience In Portfolio Implementation And Trading: The Candidate Should Have Prior Experience In Portfolio Implementation And Trading, Preferably In The Asset Management Industry. This Includes Knowledge Of Trade Order Management Systems And Execution Processes.

  • Attention To Detail And Analytical Skills: A Portfolio Implementation Compliance Analyst Needs To Have Strong Attention To Detail And Analytical Skills To Identify Potential Compliance Issues And Provide Solutions.

  • Excellent Communication And Interpersonal Skills: This Role Requires Frequent Communication With Various Teams, Including Portfolio Managers, Traders, And Compliance Officers. The Candidate Should Have Excellent Communication And Interpersonal Skills To Effectively Collaborate And Build Relationships.

  • Ability To Work In A Fast-Paced And Dynamic Environment: The Capital Group Companies Is A Fast-Paced And Dynamic Environment, And The Portfolio Implementation Compliance Analyst Should Be Able To Thrive In Such An Environment. This Includes Being Able To Handle Multiple Tasks And Priorities Simultaneously.

Required Skills

  • Data Analysis

  • Record keeping

  • Risk assessment

  • Regulatory compliance

  • Due Diligence

  • Portfolio optimization

  • Compliance Reporting

  • Investment Analysis

  • Portfolio Monitoring

  • Investment Strategies

  • Audit Preparation

  • Reporting Systems

Soft Skills

  • Communication

  • Conflict Resolution

  • Leadership

  • Time management

  • creativity

  • Attention to detail

  • Teamwork

  • Adaptability

  • Problem-Solving

  • Empathy

Compensation

According to JobzMall, the average salary range for a Portfolio Implementation Compliance Analyst in Irvine, CA, USA is between $68,000 and $95,000 per year. This range can vary depending on factors such as level of experience, education, and specific job duties.

Additional Information
Capital Group Companies is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. We do not discriminate based upon race, religion, color, national origin, sex, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.
Required LanguagesEnglish
Job PostedSeptember 24th, 2024
Apply BeforeJune 21st, 2025
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About Capital Group Companies

Capital Group is an American financial services company. It ranks among the world's oldest and largest investment management organizations, with $1.87 trillion in assets under management.

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