Compliance Lead

Capital Group•New York, NY

7d•$168,924 - $270,278•Hybrid

About The Position

As a Compliance Lead, you will collaborate with a team of compliance professionals, with the goal of ensuring Capital Client Group (CCG) and its associates maintain the highest levels of compliance with regulatory and firm policies and guidelines. You will serve as a trusted compliance partner and resource to the many teams and associates across CCG, including sales, product, marketing, and operations. You will be responsible for providing sound guidance and perspective to associates who seek support and direction related to a broad range of compliance related areas that include content review, meeting expenses, and technology use. You will use good judgement, resourcefulness, and clear communication to effectively manage and respond to daily inquiries. To help navigate more complex situations, you will seek to identify and obtain input from appropriate subject matter experts from other areas such as legal and business leadership.

Requirements

8+ years of industry and/or compliance experience within financial services.
Strong ability to convey regulations and policies.
Sound judgment developed through deep, relevant experience and analytical skills.
Ability to interpret evidence to make decisions and assemble facts.
Proficiency in navigating ambiguity.
Ability to act without knowing all the details and confidently make determinations.
Skill in planning for various scenarios with alternative solutions.
Ability to embrace change.
Ability to synthesize obscure information into simplified points that tell a cohesive story.
Quick thinking and the use of process and reason to tackle workload.
Ability to ask great questions, bounce ideas off others, and share perspectives with conviction.
Ability to create and maintain meaningful relationships.
Generous collaborator who is trustworthy and dependable.
Fine-tuned communication style to influence a variety of personalities.
Appreciation for the importance of mindful communication within an inclusive environment.
Hold one or more of the following licenses: Series 7, 24, and 66 (or equivalent).

Responsibilities

Ensuring Capital Client Group (CCG) and its associates maintain the highest levels of compliance with regulatory and firm policies and guidelines.
Serving as a trusted compliance partner and resource to teams and associates across CCG, including sales, product, marketing, and operations.
Providing sound guidance and perspective to associates seeking support and direction related to content review, meeting expenses, and technology use.
Using good judgment, resourcefulness, and clear communication to effectively manage and respond to daily inquiries.
Identifying and obtaining input from appropriate subject matter experts (e.g., legal, business leadership) to navigate complex situations.