Compliance Lead

Overview “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. Responsibilities “I can succeed as a Compliance Lead at Capital Group.” As a Compliance Lead, you will collaborate with a team of compliance professionals, with the goal of ensuring Capital Client Group (CCG) and its associates maintain the highest levels of compliance with regulatory and firm policies and guidelines. You will serve as a trusted compliance partner and resource to the many teams and associates across CCG, including sales, product, marketing, and operations. You will be responsible for providing sound guidance and perspective to associates who seek support and direction related to a broad range of compliance related areas that include content review, meeting expenses, and technology use. You will use good judgement, resourcefulness, and clear communication to effectively manage and respond to daily inquiries. To help navigate more complex situations, you will seek to identify and obtain input from appropriate subject matter experts from other areas such as legal and business leadership. Qualifications “I am the person Capital Group is looking for.” You have 8+ years of industry and/or compliance experience within financial services. You have a great level of anticipation and strong ability to convey regulations and policies. Throughout your professional career, you’ve developed sound judgment by using a combination of deep, relevant experience and analytical skills. You interpret evidence to make decisions and are well-versed in assembling facts. You are well-versed in navigating ambiguity. You have examples of times when you’ve acted without knowing all the details and confidently made determinations. You plan for various scenarios with alternative solutions, and you fully embrace change. You can synthesize obscure information into simplified points that tell a cohesive story. You’re a quick thinker who uses process and reason to tackle your workload. You ask great questions, bounce ideas off others, and share your perspective with conviction. You take the time to create and maintain meaningful relationships. You’re a generous collaborator who is trustworthy and dependable. You’ve fine-tuned your communication style to influence a variety of personalities. You appreciate the importance of mindful communication when working within an inclusive environment. You hold one or more of the following licenses: Series 7, 24, and 66 (or equivalent) Working conditions: This role requires domestic travel of about 25%. Compensation and Benefits “I can apply in less than 4 minutes.” You’ve reviewed this job posting and you’re ready to start the candidate journey with us. Apply now to move to the next step in our recruiting process. If this role isn’t what you’re looking for, check out our other opportunities and join our talent community. New York Base Salary Range: $168,924-$270,278. In addition to a highly competitive base salary, per plan guidelines, restrictions and vesting requirements, you also will be eligible for an individual annual performance bonus, plus Capital’s annual profitability bonus plus a retirement plan where Capital contributes 15% of your eligible earnings. We are an equal opportunity employer, which means we comply with all federal, state and local laws that prohibit discrimination when making all decisions about employment. As equal opportunity employers, our policies prohibit unlawful discrimination on the basis of race, religion, color, national origin, ancestry, sex (including gender and gender identity), pregnancy, childbirth and related medical conditions, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, citizenship status, AIDS/HIV status, political activities or affiliations, military or veteran status, status as a victim of domestic violence, assault or stalking or any other characteristic protected by federal, state or local law. Capital Group is one of the largest and most trusted financial companies in the world, with the goal of improving people’s lives through successful investing. Our shared values of integrity, client focus, long-term view, diverse perspectives and community inspire our associates every day. A career at Capital Group means having countless opportunities to explore, grow and succeed. Learn more about compensation & retirement Learn more about our benefits Learn more about our hybrid schedule Learn more about our culture and core values Learn more about our commitment to responsible AI and how it shapes your candidate experience #J-18808-Ljbffr