Compliance Specialist Senior

“I can succeed as a Compliance Specialist Senior at Capital Group.” The Compliance Specialist Senior must demonstrate an intermediate knowledge in assigned areas and generally works independently, seeking direction for more complex tasks, as needed. Responsible for researching, collecting and reviewing documents to support distribution, sales and marketing (“DSM”) compliance in APACxJ region and complete and submit regulatory filings and surveys to regulators in APACxJ region. Drafts and reviews compliance policies, processes, controls and procedures and assists internal departments to enhance and improve these controls. Primary responsibilities/essential functions: Distribution, sales and marketing (“DSM”) compliance: Reviews and approves marketing materials of APACxJ. Participates as an active member to contribute APACxJ input in regional or global projects and initiatives. Possesses the ability to read and write both traditional and simplified Chinese. Regulatory filings: Prepares, reviews, manages and files required statutory documentation to regulators in APACxJ relating to appointed representatives and firm-wide licensing obligations including annual filing, periodic and ad-hoc regulatory surveys and submissions. With respect to the above area and duties of other areas as assigned, the Compliance Specialist Senior: Researches issues/requirements and collects and reviews documents for regulatory exams, audits, requests, applications and other legal processes. Take initiative to coordinate with auditors, external counsel, and internal business groups on issues, as needed. Drafts and reviews internally generated documents and external correspondence for compliance and business purposes for manager/ legal counsel review. Supports needs of clients, auditors, and regulators by assisting internal business departments with responses to queries or troubleshooting issues. Initiates interactions with internal and external legal 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 legal counsels 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. Other duties as assigned. “I am the person Capital Group is looking for” Must be at least a degree holder Minimum seven years of compliance experience in investment management (preferred), securities or financial services industry Must be proficient and confident in reading and writing both Traditional Chinese and Simplified Chinese and ability to translate from English to both Traditional Chinese and Simplified Chinese Experience in managing communication with APACxJ regulators on licensing matters is a plus. Demonstrates knowledge of regulatory compliance standards. Exhibits knowledge in current and possible future policies, practices, trends, technology and information affecting the department/business area. Judgement/manage complexity: Demonstrates sound judgment in resolving matters of moderate complexity. Able to make sense of complex matters, analyzing multiple and diverse sources of information to solve problems. Initiative: Consistently demonstrates initiative by identifying issues and recommending solutions. Effective communication: Demonstrates effective written and oral communications skills with a diverse group of associates and senior business leaders. Prioritization: Consistently demonstrates ability to prioritize work and complete in a timely manner. Collaboration: Demonstrates ability to collaborate and develop/maintain relationships across department. Nimble learning/situational adaptability: 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. Simplify and scale: Demonstrate ability to utilize technology to enhance, refine, and streamline processes. Confidentiality and integrity: Maintains a high level of confidentiality and integrity. Self-awareness: Reflects on work product and seeks/ acts on feedback from a wide variety of people. Assess risk: Demonstrates the ability to identify, assess, and escape risks or potential risks encountered through day-to-day activities. Customer focus: Delivers solutions that meet client/business partner expectations and regulatory requirements. Influence : Gains the confidence and trust of others easily. Demonstrates ability to influence others. Project management: Demonstrates ability to manage individual projects including documenting milestones and proactively providing updates to leaders/stakeholders. Drives results : Follows through on commitments and makes sure others do the same. Appropriately pushes self and others to achieve results, despite obstacles and setbacks. Business insights : Uses knowledge of business drivers and how strategies and tactics play out in the market to guide actions. Cultivates innovation : Can take a creative idea and put it into practice. In addition to a highly competitive base salary, per plan guidelines, restrictions and vesting requirements, you also will be eligible for an individual annual performance bonus, plus Capital’s annual profitability bonus plus a retirement plan where Capital contributes 15% of your eligible earnings. You can learn more about our compensation and benefits here. * Temporary positions in Canada and the United States are excluded from the above mentioned compensation and benefit plans. 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. #J-18808-Ljbffr