Investor Oversight Associate

Date: Feb 19, 2021

Location: Luxembourg, LU

Company: Capital Group

Req ID: 39387 

Location: Luxembourg

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.


Role summary:

The Investor Oversight Associate will work within the platform supporting CG’s Luxembourg, Australia and UK domiciled funds to support the oversight of the intermediaries and service providers involved in the distribution and servicing of the funds and their investors.

More specifically, the Associate will help perform due diligence on financial intermediaries distributing CG funds through initial and ongoing risk assessment as well as monitor and document the service provider’s quality of service.  



  • Ensure daily review of negative media / PEP and sanction screening hits pertaining to investors across the range of CG funds in Europe and Asia; providing an initial analysis of the relevance of the hit, documenting findings and escalating as appropriate.
  • Support the onboarding of new distributors through the gathering and review of KYC and due diligence documentation and the risk assessment of such entities.
  • Support the regular renewal of the risk assessment and corresponding documentation
  • Assist the transfer agents & impacted CG Client Relations and Sales colleagues in the annual AML renewal exercises of shareholders
  • Help oversee the transfer agents of the funds as delegate of the management company by reviewing, gathering information on and documenting issues and level of service of the provider.
  • Assist in review of FATCA / CRS related reporting from the transfer agents across the funds.
  • Assist in the preparation of reports for internal governance forums Assessment of client trading patterns, flagging and documenting inconsistencies detected
  • Contributes to any IST and/or Funds Platform projects as assigned.
  • Contributes to the quality of team processes and business acumen



  • A minimum of 2-3 years’ experience within the funds industry, ideally directly linked to AML / KYC activities or delegate oversight within wealth management firms and/or banks.  
  • Strong verbal and written communication skills, with high English fluency. Second language a plus.
  • Intellectual curiosity and analytical skills, with ability to look for information independently to perform analysis whilst applying sound judgment in resolving matters of low to moderate complexity
  • Making sense of complex, high quantity, and sometimes contradictory information to effectively solve problems.
  • Proactive and responsive attitude, with the ability to effectively plan and document one’s workload and share with other team members.
  • Demonstrates ability to effectively collaborate with others to meet shared objectives and develop/maintain relationships within Capital Group.
  • Demonstrates attention to detail in diligent analysis of issues and rigorous documenting of oversight activities
  • Ability to evaluate and appropriately address privacy and confidentiality concerns relating to access and manipulation of shareholder data
  • Demonstrate interest in the topic of AML / KYC in the fund industry
  • Stays informed on industry developments and actively demonstrating curiosity and initiative to learn


“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