Legal & Compliance Specialist Senior

Date: Sep 9, 2021

Location: London, GB

Company: Capital Group

Req ID: 41049 

Location: London

Other location(s):  


“I can be myself at work.”


You define yourself by more than just a job title, and we want you to feel comfortable bringing your true self to work. We value your talents, your traditions and your take on the world  ̶  everything that makes you unique. We’re working hard to advance diversity, equity and inclusion in our organization and our communities because we know that what makes us different makes us better.


We want you to feel a strong sense of belonging. We value and welcome your experiences, ideas and identity. Over 40 employee resource groups unite our people and help to develop our collective empathy through unfiltered conversations about race, ethnicity, gender, gender identity, sexual orientation, faith, disabilities, mental health and so much more.


“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 be the equivalent of 15% of your annual 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


COVID-19 HIRING: Our recruiting and onboarding activities are virtual during the pandemic and we’ve transitioned to a work-from-home environment until further notice. We are offering generous work-from-home benefits to improve our associate’s ability to work remotely.


"I can succeed as a Legal & Compliance Secialist Senior at Capital Group" 


Role summary

Demonstrates an intermediate knowledge in assigned areas and works independently on projects, analysis and tasks of moderate to high complexity. Responsible for helping on the legal requirements regarding OEICS and UCITS funds and a UK based UCITS management company and researching, collecting and reviewing documents for a variety of regulatory filings, prospectus and contracts. Processes, reviews, and advises on investment and trading support including in relation to Market Abuse Regulation. Every person in the team is responsible for legal, regulatory, and compliance work product.


Primary responsibilities/essential functions

  • Drafts, prepares and reviews documentation for regulatory filings - in particular with the FCA in the UK and with the CSSF in Luxembourg – including working on prospectus or other documents and agreements.
  • Helps to monitor and implement the legal, compliance, and regulatory requirements regarding UK UCITS funds and a UK-based UCITS management company (incl. client money and product government regulations).
  • Supports on regulatory matters for our UK entities and funds.
  • Researches issues/requirements and collects and reviews documents for regulatory visits, audits, requests, applications, boards, and other legal processes. Take initiative to coordinate with auditors, external counsel, board members, and internal business groups on issues, as needed.
  • Advise on and design solutions for regulatory and legal issues impacting our investment and trading groups (e.g., ESG requirements, ownership limits, best execution, etc.).
  • Provide deal review support and fielding client and fund guideline inquiries
  • Maintenance and application of market abuse policies and procedures, including fielding wall-crossings and processing trade freezes.
  • Supports needs of clients, auditors, and regulators by assisting internal business departments with responses to queries or troubleshooting issues.
  • Initiates interactions with attorneys, external counsel and regulators on various issues with a focus on proposing and implementing changes or enhancements to business processes.
  • Advises internal departments to ensure they are current with regulations and relevant regulatory changes.
  • Engages in identifying issues across the department, problem solving, and providing feasible recommendation options for implementation within various legal and compliance processes. Partners with attorneys and managers on issues of higher complexity.
  • Participates in and may lead departmental and inter-departmental projects.
  • Performs additional responsibilities as assigned.



  • Strong legal drafting capabilities.
  • Sound judgment and ability to independently resolve matters of moderate to high complexity.
  • Demonstrates initiative by identifying issues and recommending comprehensive solutions.
  • Effective written and oral communications skills with a diverse group of associates and senior business leaders.
  • Ability to plan processes and work for a group or team to assure work is completed in a timely manner.
  • Ability to collaborate and develop/maintain relationships within Capital.
  • Demonstrates knowledge of regulatory compliance standards. Exhibits knowledge in current and possible future policies, practices, trends, technology and information affecting the department/business area.
  • Leadership and ability to manage projects within the team.
  • Demonstrates organizational agility and ability to manage ambiguity.
  • Effective use of technology and process improvement recommendations to improve processes and reduce risk to the business.
  • Demonstrates meticulous attention to detail.
  • Demonstrates ability to maintain a high level of confidentiality and integrity.
  • Self-directed with the ability to work both collaboratively and independently to consistently meet quality and time deadlines.


Core requirements


Capital Group are committed to be an equal opportunity employer. In Europe, we endeavour to make reasonable adjustments at any point along the recruitment process for candidates in need. Reach out to the recruiter in the first instance to discuss your needs. Any information you share will be treated sensitively, confidentially and in line with our data privacy policy available on our website.


“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.


“I can learn more about Capital Group.” 


At Capital Group, the success of the people who invest with us depends on the people in whom we invest. That’s why we offer a culture, compensation and opportunities that empower our associates to build successful and prosperous careers. Through nine decades, our goal has been to improve people’s lives through successful investing. We know that our history is a testament to the strength of the people we hire. More than 7,800 associates in 30+ offices around the world help our clients and each other grow and thrive every day. Find us on LinkedIn, Glassdoor, FairyGodBoss, DiversityJobs and Instagram.


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. 

Job Segment: Social Media, Marketing