Senior Compliance Specialist

Date: Jun 23, 2022

Location: Singapore, SG

Company: Capital Group

 

 

ASIA PACIFIC LEGAL AND COMPLIANCE

 

Role title: Senior Compliance Specialist

 

Role summary

Demonstrates an intermediate knowledge in assigned areas and works independently on projects, analysis, and tasks of moderate to high complexity. Responsible for researching, collecting and reviewing documents for a variety of regulatory filings, contracts, reporting, board materials, etc., assisting with regulatory supervisory activities and audits, analyzing issues and implementing solutions. Drafts and reviews compliance policies, processes, controls and procedures with the ability to advise and provide recommendations to internal departments to enhance and improve these controls.

 

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

  • Analyzes and executes on documentation for one or more of the following: Regulatory filings, investment-related deal documents, board materials or other agreements.
  • Researches issues/requirements and collects and reviews documents for regulatory/supervisory visits, audits, requests, applications, board materials and other legal processes. Take initiative to coordinate with auditors, external counsel, board members, and internal business groups on issues, as needed.
  • Drafts and reviews internally generated documents and external agreements/correspondence for compliance and business purposes for manager/ attorney review.
  • Supports needs of clients, auditors, and regulators by assisting internal business departments with responses to queries or troubleshooting issues.
  • Initiates interactions with attorneys, external counsel and regulators on various issues with a focus on proposing and implementing changes or enhancements to business processes.
  • Ensures internal departments are current with compliance policies and regulations. Advises business areas on compliance processes and questions of moderate complexity. Builds relationships with internal departments.
  • Engages in identifying issues, problem solving, and providing feasible recommendation options for implementation within various legal and compliances processes. Partners with attorneys and managers on issues of higher complexity.
  • Participates in and may lead departmental and inter-departmental projects.
  • Participates in the training of more junior associates.
  • Performs additional responsibilities as assigned.

 

 

 

Skills/qualifications

  • Demonstrates sound judgment and ability to independently resolve matters of moderate to high complexity.
  • Demonstrates initiative by identifying issues and recommending comprehensive 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 lead and manage projects within the team.
  • Demonstrates organizational agility and ability to manage ambiguity.
  • 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.

 

Core requirements

 

  • Able to speak and work in English; in Hong Kong, Chinese-language spoken and written will be highly regarded.
  • Prior experience working with privacy regulations regionally

 

“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. 

#LI-Hybrid


Job Segment: Social Media, Marketing