Compliance Lead

Date: Oct 7, 2021

Location: Sydney, SG

Company: Capital Group

Role Summary

Demonstrates full knowledge in assigned area and is an experienced individual contributor. Serves as a subject matter expert providing direction and leadership on compliance and other topics. Supports the compliance needs of internal departments and external entities, including completion of regulatory business filings, answering questions and providing recommendations for, and information about, Capital’s policies and procedures. Lead projects for Legal and Compliance and externally where subject matter expertise is required.



Primary Responsibilities / Essential Functions (applicable to all responsibility areas):

  • Oversees legal processes including, regulatory filings, marketing, and other compliance reporting, etc.
  • Researches, collects and reviews documents for regulatory exams, audits and legal processes. Acts as the first point of contact for external entities. Responds to questions and inquiries escalating matters to Legal and Compliance management team and attorneys as necessary.
  • Interacts with external counsel, auditors and regulators, on issues of high complexity, as appropriate.
  • Ensures internal departments are current with compliance policies and regulations. May train business areas on compliance processes.
  • Analyses new regulations and impact of implementation to business practices. Proposes appropriate solutions in response to new regulations and proposes implementation strategies.
  • Supports internal departments with communications to external parties.
  • Leads/participates in departmental and interdepartmental projects to create new processes and resolve cross-group business issues.
  • Drafts, reviews and revises internally generated documents for compliance and business purposes. May draft, review and negotiate agreements, materials and amendments for external entities.
  • Leads efforts to improve and enhance processes within area of expertise.
  • Trains more junior associates.
  • Performs additional responsibilities as assigned.


Leads all aspects of Responsible Entity compliance which will include:

    • Preparation, implementation and monitoring of compliance plans for registered managed investment schemes in line with agreed time frames, audit and regulator reporting requirements.
    • Preparation, implementation and monitoring of Constitutions for registered managed investment schemes in line with agreed time frames and regulatory requirements.
    • Preparation, implementation and monitoring of disclosure documents (Product Disclosure Statements, Financial Services Guide, website content) in line with regulatory requirements
    • Review and approval of marketing material to ensure compliance with regulatory requirements



Skills / Qualifications

  • Demonstrates sound judgment, nimble learning, a high degree of intellectual curiosity and the ability to deal with ambiguity to resolve matters of high complexity.
  • Demonstrates initiative by identifying issues and recommending solutions on complex and broad matters.
  • Demonstrates effective written and oral communications skills with a diverse group of associates, senior business leaders and a diverse group of individuals outside the organization.
  • Demonstrates strong degree of accuracy.
  • Demonstrates ability to plan processes and work across broad, diverse groups to assure work is completed in a timely manner.
  • Demonstrates ability to collaborate and develop/maintain working relationships inside and outside the organization to enable effective completion of business objectives.
  • Demonstrate ability to effectively use data and technology as tools to automate controls and streamline processes.
  • Demonstrates expert knowledge of regulatory compliance standards. Exhibits knowledge in current and possible future policies, practices, trends, technology and information affecting the department/business area and overall organization.
  • Demonstrates ability to lead and manage projects across multiple teams or groups.
  • Demonstrates the ability to informally lead, train, and mentor more junior associates.
  • Demonstrates strong investigation skills to research situations to understand underlying causes.



Core Requirements

Degree / 5+ years min work-experience

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