Licensing Compliance Associate

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Date: May 15, 2019

Location: Los Angeles, CA, US, 90071

Company: Capital Group

Req ID:  29699
Experience Level: Professional 
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 Licensing Compliance Associate based in our Los Angeles office, you will play an important role on our AFD Compliance team and be responsible for supporting all aspects of the fingerprinting and licensing processes.
  • Assist with the fingerprinting process for all newly hired associates and contractors, including maintaining fingerprinting records, escalating discrepancies with legal, Human Resources or FINRA as needed 
  • Assist with all FINRA licensing and registration activities for AFD and its registered persons
  • Processes FINRA background check requests to validate registration history for pre-hire and pre-licensing requirements, and report any ongoing changes and terminations of registrations
  • Coordinate state securities and insurance licensing efforts for AFD, keeping abreast of changes and new FINRA and state requirements
  • Complete a variety of regulatory filings and assist with various other ongoing AFD compliance team activities
  • Work with the Code of Ethics team regarding personal securities of AFD associates and registered representatives
  • Contribute to the annual AFD Firm Element training plan
  • Provide administrative support on an as needed basis 
  • 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
  • FINRA CRD system experience a plus


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: Administrative Assistant, Administrative