Compliance Associate

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Date: Feb 1, 2019

Location: Los Angeles, CA, US, 90071

Company: Capital Group

Req ID:  28101
Experience Level: Professional 
Other Location(s): N/A  
Relocation offered: No
Travel required: None

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.

Capital Group’s Compliance team is a critical resource for our business area assessments of risk. Our team continuously educates, collaborates, and makes recommendations to our business groups to ensure compliance with regulatory and legal requirements. 
As a Compliance Associate based in our Los Angeles office, you will be responsible for partnering closely with our in-house lawyers, compliance managers, and investment operations team to ensure investment compliance, global ownership reporting, and improve operations workflows and use of systems. You will provide compliance and project support for our derivative operations and research international regulatory requirements and assist with the launch of new funds. You will be expected to stay apprised of current US and global issues, Capital Group standards, and regulatory compliance while participating in a variety of projects and initiatives to support our business. 
•Prepare and submit regulatory filings in multiple jurisdictions for Capital’s large shareholdings around the world
•Conduct research to determine appropriate compliance limits for companies that Capital invests in, or may invest in, through the funds and accounts it manages; may require interaction with attorneys, investment operations professionals, and regulators
•Support implementation of new regulations and related requirements through the design, implementation, and maintenance of controls—either automated or manual/workflow—across the organization
•Perform strategic testing and audits of Capital’s compliance infrastructure to help identify and remediate gaps and respond to changing requirements
•Support projects and research for managers and attorneys 
•2+ years of professional experience in a corporate environment
•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
•Demonstrates a high level of time management, organizational skills, and attention to detail with integrity and ownership of work
•Experience with emerging technologies such as robotic process automation or machine learning is a plus
•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