Compliance Lead

Capital Group•Los Angeles, CA

2d•Hybrid

About The Position

As a Compliance Lead within our sales literature review team in Legal & Compliance, you will provide compliance oversight and review of marketing materials for retail and institutional investors in various investment vehicles, including ETFs, mutual funds, alternative investments, separately managed accounts, and collective investment trusts. You will work with global teams of highly experienced lawyers and compliance and risk professionals who work collaboratively to guide business decisions that make an impact in our highly regulated environment. Every day, you will provide guidance to internal stakeholders on the applicability of rules and regulatory requirements, internal guidelines and disclosure standards, and other risk related issues when reviewing communication materials.

Requirements

In-depth knowledge of various investment vehicles including ETFs, mutual funds, alternative investments, separate accounts, SMAs and CITs.
Experience with the regulatory framework applicable to marketing communications used by broker/dealers and RIAs to offer and promote the vehicles.
Well-versed in the rules governing securities advertising.
Detailed knowledge of investment and economic concepts.
Comfortable acting as a subject matter expert with marketing department associates and providing guidance on applicable regulatory requirements.
Experience with the applicable advertising rules (e.g., SEC Marketing Rule, FINRA 2210 and 2212, SEC Rule 482, etc.) related to the implementation of required policies and procedures as well as application of the rules to advertisements.
Ability to apply critical thinking and sound regulatory judgment.
Attention to detail.
Highly observant.
Familiar with project life cycles.
Resilience in enlisting the help of others, sifting through large data sets, re-prioritizing, strategizing, tailoring communication, embracing conflict and identifying critical issues.
Ability to manage competing priorities.
Comfortable when priorities shift.
Ability to manage change with steadfast composure.
Comfortable leveraging technology to improve efficiency.
Ability to take initiative to simplify and scale without sacrificing quality.
Value being authentic, respectful, and engaging.
Actions demonstrate that you value collaboration and different perspectives.
Skilled communicator.
Thrive in team settings.
Self-starter who excels when working independently.
Appreciate the sense of accomplishment achieved when a job is done right, or you solve a problem using your good judgment.

Nice To Haves

FINRA Series 7 & 24 licenses preferred.

Responsibilities

Provide compliance oversight and review of marketing materials for retail and institutional investors in various investment vehicles, including ETFs, mutual funds, alternative investments, separately managed accounts, and collective investment trusts.
Work with global teams of highly experienced lawyers and compliance and risk professionals.
Provide guidance to internal stakeholders on the applicability of rules and regulatory requirements, internal guidelines and disclosure standards, and other risk related issues when reviewing communication materials.
Apply critical thinking and sound regulatory judgment when evaluating recordkeeping requirements for marketing communications, ensuring marketing materials, approvals, supporting substantiation, and related review records are maintained in accordance with SEC, FINRA, and firm recordkeeping standards.
Identify opportunities to enhance the control environment through sound business recommendations.
Meet deadlines without sacrificing quality.
Manage competing priorities and shifts in priorities with steadfast composure.
Leverage technology to improve efficiency and take initiative to simplify and scale without sacrificing quality.
Proactively share your perspective and listen to other perspectives with an open mind.
Excel when working independently.