Principal Compliance Lead
Are you a highly motivated and experienced compliance professional looking for a challenging leadership role? Look no further! Capital Group Companies is currently seeking a Principal Compliance Lead to join our dynamic team. In this role, you will be responsible for overseeing and managing our company's compliance programs, ensuring adherence to laws and regulations. We are looking for a driven individual with strong leadership skills and a thorough understanding of compliance best practices. If you are passionate about ensuring ethical and compliant business practices, we want to hear from you!
- Develop and implement compliance policies and procedures in alignment with laws and regulations.
- Lead and manage a team of compliance professionals.
- Conduct regular audits and assessments to identify and mitigate potential compliance risks.
- Stay updated on industry regulations and ensure the company's practices are in line with them.
- Collaborate with other departments to ensure compliance requirements are integrated into business processes.
- Train and educate employees on compliance policies and procedures.
- Investigate any potential compliance violations and take appropriate action.
- Prepare and present compliance reports to senior management and regulatory agencies.
- Develop and maintain strong relationships with regulatory agencies and act as the main point of contact for compliance inquiries.
- Continuously assess and improve the company's compliance program to ensure effectiveness.
- Keep abreast of any changes in laws and regulations and communicate necessary updates to relevant stakeholders.
- Maintain a culture of compliance and ethical business practices throughout the organization.
- Represent the company in compliance-related meetings and conferences.
- Provide guidance and support to other departments on compliance matters.
- Ensure all documentation and records are maintained in accordance with regulatory requirements.
Extensive Knowledge Of Regulatory Compliance Laws And Regulations: The Ideal Candidate Should Have A Deep Understanding Of Relevant Laws And Regulations At The Federal, State, And Local Levels, Including But Not Limited To Sec, Finra, And Dol Regulations.
Strong Leadership And Management Skills: As A Principal Compliance Lead, This Individual Will Be Responsible For Overseeing A Team Of Compliance Professionals. The Candidate Should Have A Proven Track Record Of Effectively Managing And Leading A Team.
Excellent Communication And Interpersonal Skills: The Role Of A Principal Compliance Lead Involves Working Closely With Various Stakeholders, Including Senior Management, Legal And Risk Management Teams, And External Regulators. The Candidate Must Have Strong Communication And Interpersonal Skills To Effectively Convey Complex Compliance Issues To Different Audiences.
Experience In Developing And Implementing Compliance Programs: The Ideal Candidate Should Have A History Of Creating And Implementing Effective Compliance Programs In A Large Organization. This Includes Assessing Risks, Developing Policies And Procedures, And Monitoring And Reporting On Compliance Efforts.
In-Depth Understanding Of Investment Products And Financial Services Industry: The Principal Compliance Lead Will Be Responsible For Ensuring Compliance Across All Areas Of Capital Group Companies, Including Various Investment Products And Services. The Candidate Should Have A Thorough Understanding Of The Financial Services Industry And Its Products, Including Mutual Funds, Retirement Plans, And Separately Managed Accounts.
Risk Management
Communication Skills
Project Management
Data Analysis
Team Management
Regulatory compliance
Training and Development
Problem-Solving
Policy Development
Compliance monitoring
Audit Preparation
Stake
Communication
Conflict Resolution
Leadership
Problem Solving
Time management
creativity
flexibility
Networking
Teamwork
Adaptability
According to JobzMall, the average salary range for a Principal Compliance Lead is $120,000-$180,000 per year. However, this can vary depending on factors such as location, industry, and years of experience. Some higher paying industries for this role include finance, healthcare, and technology.
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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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