Compliance Associate

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Date: Dec 4, 2018

Location: Los Angeles, CA, US, 90071

Company: Capital Group

Req ID:  27408
Experience Level: Entry-Level 
Other Location(s): N/A   

Come grow with us

At Capital Group, how we work is defined by shared values that include absolute integrity, respect and collaboration. But it’s more than that. It’s smart and highly driven people united in purpose to serve our investors and one another.

Bring your energy and unique perspective to Capital and you’ll have the opportunity to grow with us professionally, personally, and financially. You’ll be part of a team that genuinely cares about helping you succeed. You’ll work alongside talented colleagues, many of whom build long careers while progressing through multiple roles, establishing lifelong friendships and making a difference in our communities. In return for your contributions, you’ll receive premier compensation and benefits, and a company-funded retirement plan that ranks among the most generous.


The American Funds Distributors (AFD) Compliance Group is a critical resource for our business and helps ensure compliance with rules applicable to AFD and its activities as a registered Broker/Dealer.
As a Compliance Associate based in our Los Angeles office, you will play an important role on our AFD Compliance team and be responsible for reviewing key content and correspondence for AFD.
  • Obtain a thorough understanding of AFD/CGIIS policies and serve as a resource in answering questions related to those policies
  • Reviewing and editing content, correspondence, and white papers and ensure it aligns with our guidelines
  • Act as the liaison with legal/compliance and various business groups who support our distribution efforts
  • Conduct research and provide guidance to internal groups on creation of custom content
  • Email review
  • Will need to obtain necessary FINRA registrations, including Series 24 and 51, within a reasonable timeframe
  • 2+ years of experience in a corporate environment
  • A proactive, action-oriented individual with a strong attention to detail and confidentiality
  • A self-starter with excellent judgment, exceptional communication skills, strong customer service and professionalism 
  • A strong problem-solver with initiative to work creatively and independently with competing deadlines and priorities
  • Bachelor’s degree required


Company Overview:
Founded in 1931, Capital Group is one of the world’s largest and most trusted investment management companies and home to the American Funds. We manage more than US$1.7 trillion in assets, and our 7,500 associates make our clients their first priority every day. When we do our job right, millions of investors around the world fulfill their dreams and financial goals, from home ownership and higher education, to a comfortable retirement. Our long-term investment results and outstanding service set us apart from our competitors, while our workplace sets us apart from other employers. 
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. 

Nearest Major Market: Los Angeles

Job Segment: Research, Entry Level