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About the Role

This role involves analyzing and executing documentation for regulatory filings, investment-related deal documents, or other agreements. You will research issues, coordinate with auditors and external counsel, and draft/review documents for compliance and business purposes. The position supports clients, auditors, and regulators by assisting internal business departments with responses and troubleshooting. You will also advise business areas on compliance processes and identify potential enhancements to legal and compliance processes.

Responsibilities

Analyzes and executes on documentation for regulatory filings, investment-related deal documents, or other agreements.
Researches issues/requirements and collects and reviews documents for regulatory exams, audits, requests, applications and other legal processes.
Takes initiative to coordinate with auditors, external counsel, and internal business groups on issues.
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.
Identifies potential enhancements to 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 other duties as assigned.

Requirements

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 sound judgment in resolving matters of high complexity.
Able to make sense of complex matters, analyzing multiple and diverse sources of information to solve problems.
Actively seeks input from pertinent sources to make timely and high-quality decisions.
Consistently 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.
Partners with leadership team to allocate resources efficiently while also considering contingencies should obstacles arise.
Demonstrates ability to collaborate and develop/maintain relationships within Capital.
Self-directed with the ability to work both collaboratively and independently to consistently meet quality and time deadlines.
Demonstrates meticulous attention to detail.
Adapts approach and demeanor in real time to match the shifting demands of different situations.
Demonstrates ability to utilize technology to enhance, refine and streamline processes.
As needed, partners with senior associates and/or IT to automate or build strategic solutions.
Maintains a high level of confidentiality and integrity.
Reflects on work product and seeks and acts on feedback from a wide variety of people.
Consistently demonstrates the ability to identify, assess, respond to and escalate risks or potential risks encountered through day-to-day activities.
Builds and delivers solutions that meet customer expectations and regulatory requirements.
Gains the confidence and trust of others easily.
Demonstrates ability to influence others.
Demonstrates ability to lead and manage projects within the team including documenting milestones and proactively providing updates to leaders/stakeholders.
Follows through on commitments and makes sure others do the same.
Appropriately pushes self and others to achieve results, despite obstacles and setbacks.
Uses knowledge of business drivers and how strategies and tactics play out in the market to guide actions.
Can take a creative idea and put it into practice.
Build strong stakeholder partnerships and protect Capital Group.
Invest in ourselves and each other.
Work together to make decisions.
Think and act globally and strategically.

Skills

Regulatory compliance standards
Current and future policies, practices, trends, technology and information
Judgment
Managing complexity
Problem-solving
Decision-making
Initiative
Effective communication (written and oral)
Prioritization
Resource allocation
Collaboration
Relationship building
Nimble learning
Situational adaptability
Attention to detail
Process enhancement
Technology utilization
Automation
Confidentiality
Integrity
Self-awareness
Risk assessment
Customer focus
Influence
Project management
Driving results
Business insights
Innovation

Location

United States

Work Type

Flexible work options

Experience Level

Senior
Junior associates (training)

Salary/Compensations

Competitive salary
Individual annual performance bonus
Capital's annual profitability bonus
Retirement plan where Capital contributes 15% of eligible earnings

Benefits

Generous time-away
Health benefits from day one
2-for-1 matching gifts for charitable contributions
Opportunity to secure annual grants for organizations
On-demand professional development resources
Company-funded retirement contribution

About the Company

Capital Group fosters a culture designed to celebrate differences, where belonging leads to better outcomes and a stronger community.
Core values include: Integrity, Client Focus, Diverse Perspectives, Long-Term Thinking, and Community.
The company's mission is to improve people's lives through successful investing.
Capital Group has a history of empowering associates to build successful and prosperous careers.
Operates with over 9,000 associates in 30+ offices worldwide.

Equal Opportunity

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.
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.