Capital Group Companies

Senior Compliance Lead

Capital Group Companies
New York, NY, USA
Full-TimeDepends on ExperienceSenior LevelMasters
Job Description

Welcome to Capital Group Companies – a leading global investment management firm with a history of over 90 years. We are currently seeking a highly experienced and dynamic individual to join our team as a Senior Compliance Lead. As a Senior Compliance Lead, you will play a crucial role in ensuring that our firm adheres to all regulatory and compliance standards, providing guidance and oversight to our business operations. We are looking for a driven and detail-oriented professional with a strong understanding of the financial industry and a passion for upholding ethical and legal standards. If you are ready to take on a leadership role in a fast-paced and constantly evolving environment, we invite you to apply for this exciting opportunity.

  1. Develop and implement compliance policies and procedures in accordance with relevant laws and regulations.
  2. Monitor and assess the effectiveness of the firm's compliance program and make recommendations for improvements.
  3. Provide guidance and support to various business units on compliance-related matters, including training and education.
  4. Conduct regular compliance audits to identify any potential violations and ensure corrective action is taken.
  5. Stay up-to-date on all relevant laws, regulations, and industry standards to ensure the firm's compliance efforts are current and effective.
  6. Collaborate with legal, risk management, and other internal teams to address any compliance concerns or issues.
  7. Serve as a point of contact for regulatory agencies and oversee the preparation and submission of required reports and filings.
  8. Lead investigations into any reported compliance violations and ensure appropriate actions are taken.
  9. Develop and maintain strong relationships with key stakeholders to promote a culture of compliance throughout the organization.
  10. Provide regular reports to senior management and the Board of Directors on the firm's compliance efforts and any potential risks or issues.
  11. Mentor and train junior compliance staff to ensure a high level of expertise and knowledge within the team.
  12. Act as a role model for ethical and professional behavior, promoting a culture of integrity and compliance within the organization.
Where is this job?
This job is located at New York, NY, USA
Job Qualifications

  • Extensive Knowledge Of Regulatory Compliance Laws And Regulations: The Senior Compliance Lead Should Have A Deep Understanding Of The Complex Regulatory Landscape In Which Capital Group Operates, Including But Not Limited To Sec, Finra, And Other Global Regulatory Bodies.

  • Proven Track Record Of Developing And Implementing Compliance Programs: The Ideal Candidate Should Have Experience In Designing And Implementing Compliance Programs That Effectively Mitigate Risk And Ensure Adherence To Regulatory Requirements.

  • Strong Leadership And Communication Skills: As A Senior Role, The Candidate Should Possess Excellent Leadership Skills And The Ability To Effectively Communicate With All Levels Of The Organization, Including Senior Management, To Drive A Culture Of Compliance.

  • Analytical And Problem-Solving Skills: The Senior Compliance Lead Should Be Able To Analyze Complex Compliance Issues And Develop Practical Solutions To Mitigate Risk And Ensure Compliance With Regulations.

  • Experience In Financial Services Industry: The Role Requires A Solid Understanding Of The Financial Services Industry, Including Asset Management And Investment Advisory Services, To Effectively Oversee Compliance Within The Organization. Previous Experience In A Similar Role Within The Industry Is Highly Preferred.

Required Skills

  • Risk Management

  • Strategic Planning

  • Communication Skills

  • Project Management

  • Data Analysis

  • Investigative skills

  • Due Diligence

  • Policy Development

  • Regulatory Research

  • Compliance Auditing

  • Training And Education

Soft Skills

  • Communication

  • Conflict Resolution

  • Emotional Intelligence

  • Leadership

  • Time management

  • creativity

  • Critical thinking

  • Teamwork

  • Adaptability

  • Problem-Solving

Compensation

According to JobzMall, the average salary range for a Senior Compliance Lead in New York, NY, USA is $95,000 - $165,000 per year. This can vary depending on factors such as experience, industry, and company size.

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 PostedJune 11th, 2024
Apply BeforeApril 11th, 2026
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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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