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About the Role

This role is responsible for executing the compliance monitoring plan and supporting core compliance initiatives, including regulatory change, within the UK compliance team. The position requires in-depth knowledge of financial services and proven experience in the European and Global investment management regulatory environment. Collaboration across multiple jurisdictions is expected, and the role's responsibilities will evolve with business needs.

Responsibilities

Assisting in the development and implementation of compliance monitoring plans.
Conducting regular ongoing and thematic compliance monitoring to ensure compliance with internal policies and external regulations.
Preparing compliance monitoring reports, including the development of corrective action plans.
Collaborating with various departments to ensure compliance monitoring findings are understood and remediation plans agreed.
Following up until remediation is completed.
Assisting in the preparation of compliance monitoring reports for senior management.
Assisting other team members to support the needs of internal business departments with responses to queries or troubleshooting issues.
Leading on the research, analysis, and assessment of new and changing regulation and laws that are relevant to Capital Group in the UK.
Providing support to local teams who are responsible for coverage of Luxembourg and Switzerland.
Assessment of new/changing regulation and laws to determine the potential impact for Capital Group.
Collaborating with the team to maintain the regulatory change log.
Preparing and presenting compliance presentations in relation to regulatory change to L&C and functional committees.
Raising awareness and educating associates on regulatory change.
Participating in regulatory change projects.
Collaborating with other members of the Legal, Compliance and Risk teams on broader requirements and projects, supporting various compliance initiatives across the Firm.
Performs additional responsibilities as assigned.

Requirements

In-depth knowledge of financial services required with proven experience of the European and Global investment management regulatory environment.
Compliance monitoring experience required.
Strong commitment to quality, accuracy and attention to detail.
Strong written and oral communications skills with team members and managers.
At ease presenting project outcomes to stakeholders.
A curious and enquiring mindset, with the ability to analyse, assess and make judgements on regulations.
Happy to challenge the status quo.
Excellent relationship and influencing skills with the ability to explain complex topics.
Self-starter with the ability to work independently.
Brings energy and enthusiasm to the environment.
Ability to prioritize work and complete in a timely manner.
Ability to adapt to the needs of a growing business.
Instills trust and has the ability to maintain a high level of confidentiality and integrity.
Ability to utilize technology including AI tools to enhance and automate, refine, and streamline processes.
Degree / 10+ years of asset management experience.
Experience of Compliance monitoring.
Able to speak, draft and work in English with a high level of confidence; second language a preference.

Skills

Financial services knowledge
European and Global investment management regulatory environment experience
Compliance monitoring
Quality commitment
Accuracy
Attention to detail
Written communication
Oral communication
Presentation skills
Analytical skills
Judgment on regulations
Relationship building
Influencing skills
Independent work
Time management
Adaptability
Confidentiality
Integrity
Technology utilization (including AI tools)

Location

Work Type

Flexible work options

Experience Level

10+ years of asset management experience

Education Level

Degree

Salary/Compensations

Competitive salary
Bonuses
Individual annual performance bonus
Capital's annual profitability bonus

Benefits

Generous time-away
Health benefits from day one
2-for-1 matching gifts for charitable contributions
Opportunity to secure annual grants for charitable organizations
On-demand professional development resources
Company-funded retirement contribution (15% of eligible earnings)
Company-funded retirement contribution factors in salary and variable pay, including bonuses

About the Company

Capital Group fosters a culture where associates can feel comfortable being their authentic selves, valuing talents, traditions, and uniqueness.
The company intentionally seeks diverse perspectives, experiences, and backgrounds, investing in a culture designed to celebrate differences.
Belief that belonging leads to better outcomes and a stronger community of associates united by their mission.
Core values: Integrity, Client Focus, Diverse Perspectives, Long-Term Thinking, and Community.
Compensation is designed to motivate and reward value provided, with opportunities for income influence.
Resources are provided to help associates achieve their unique goals and interests, supporting full lives.
Capital Group's success is built on investing in its people, offering a culture, compensation, and opportunities that empower associates to build successful careers.
Goal for nine decades has been to improve people's lives through successful investing.
Operates with over 9,000 associates in 30+ offices worldwide.
Found on LinkedIn, Instagram, YouTube and Glassdoor.

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.