Compliance Specialist

Date: Jun 9, 2021

Location: Singapore, SG

Company: Capital Group

Role summary: Demonstrates an intermediate knowledge in assigned areas and works independently and under general direction for more complex projects, analysis and tasks, as needed. Responsible for researching, collecting and reviewing documents for a variety of regulatory filings, contracts, reporting, board materials, etc., and assisting with supervisory activities and audits. Drafts and reviews compliance policies, processes, controls and procedures and assists internal departments to enhance and improve these controls.

 

Primary responsibilities/essential functions (applicable to all responsibility areas):

  • Prepares, reviews and executes on documentation for one or more of the following: Regulatory filings, investment-related deal documents, specialized fund board materials, or other agreements.
  • Researches issues/requirements and collects and reviews documents for regulatory/supervisory visits, audits, requests, applications, boards, and other legal processes.
  • Under direction, reaches out to regulatory authorities, auditors, board members, and internal business groups as appropriate.
  • Drafts internally generated documents and external agreements/correspondence for compliance and business purposes for manager/Legal review.
  • Supports needs of clients, auditors, and regulators by assisting internal business departments with responses to queries or troubleshooting issues.
  • Interacts with attorneys, external counsel and regulators on various issues, with guidance from Manager or Sr. Manager.
  • Ensures internal departments are current with compliance policies and regulations. Educates and gives guidance to business areas on compliance processes. Builds relationships with internal departments.
  • Assists Leads, Managers and Sr. Managers with identifying issues and initiating potential solutions.
  • Participates in departmental and inter-departmental projects.
  • Responsiblities may include training more junior associates.
  • Performs additional responsibilities as assigned.
     
     
    Skills/qualifications:
  • Demonstrates sound judgment and ability to resolve matters of moderate complexity.
  • Demonstrates initiative by identifying issues and recommending solutions.
  • Demonstrates effective written and oral communications skills with a diverse group of associates and senior business leaders.
  • Demonstrates ability to plan processes and work for a group or team to assure work is completed in a timely manner.
  • Demonstrates ability to collaborate and develop/maintain relationships within Capital.
  • Demonstrates knowledge of regulatory compliance standards. Exhibits knowledge in current and possible future policies, practices, trends, technology and information affecting the department/business area.
  • Demonstrates ability to manage projects within the team.
  • Demonstrate ability to effectively use technology as a tool to better automate or streamline processes.
  • Demonstrates meticulous attention to detail.
  • Demonstrates ability to maintain a high level of confidentiality and integrity.
  • Self-directed with the ability to work both collaboratively and independently to consistently meet quality and time deadlines.