Posted: Saturday, March 4, 2017 1:29 PM
Req ID: 6869
Experience Level: Professional
Relocation offered: No
Travel required: None
Come grow with us
At Capital Group, how we work is defined by shared values that include absolute integrity, respect and collaboration. But it's more than that. It's smart and highly driven people united in purpose to serve our investors and one another.
Bring your energy and unique perspective to Capital and you'll have the opportunity to grow with us professionally, personally, and financially. You'll be part of a team that genuinely cares about helping you succeed. You'll work alongside talented colleagues, many of whom build long careers while progressing through multiple roles, establishing lifelong friendships and making a difference in our communities. In return for your contributions, you'll receive premier compensation and benefits, and a company:funded retirement plan that ranks among the most generous.
The Portfolio and Global Reporting Compliance Group (PGRC Group) is responsible for working to ensure Capitals compliance with securities laws and regulations relating to both disclosed investment limits and ownership reporting for all Capital entities around the world. PGRC combines both legal and technical expertise in discharging our compliance responsibilities.
As a Senior Compliance Specialist based in Los Angeles, you will play a key role in helping design, implement, and enhance controls to ensure compliance of our mutual funds and institutional products with disclosed and regulatory investment limits; lead compliance efforts within larger organization:wide projects (e.g. Front Office restructuring); work to streamline processes; and support our global ownership reporting and compliance efforts.
:Support CGs portfolio and regulatory compliance efforts through the design, implementation and maintenance of controls : either automated or manual/workflow : across the organization, often in response to a dynamic regulatory and investment environment.
:Perform strategic testing and audits of CGs compliance infrastructure to help identify and remediate gaps and respond to a changing requirements.
:Provide portfolio and regulatory compliance expertise/analysis, as needed, to others throughout the CG organization (including investment professionals, accounting, investment operations, marketing, etc.).
:Lead compliance efforts within enterprise:wide projects, often involving the overhaul of order management and compliance IT systems.
:Assist the PGRC team and CG in streamlining existing processes and procedures to ensure we are adequately managing risks to CG.
:Assist managers with setting and executing strategic priorities for PGRC team.
:Bachelors degree required;
:At least 5 years of prior experience in a legal, compliance, transactional or risk management/audit function within the asset management industry strongly preferred;
:Familiarity/experience with portfolio compliance rule coding in Charles River Development (CRD), BlackRocks Aladdin, or equivalent system strongly preferred;
:Familiarity/experience with IT systems and/or data infrastructure strongly preferred;
:Demonstrates high degree of intellectual curiosity and ability to learn on:the:fly, exercise sound business judgment, work collaboratively, and engage in critical thinking and analysis (with interest in learning global legal requirements);
:Excellent problem solving, written and verbal communication, and project management skills;
:Must be comfortable engaging with associates at all levels of the organization, and at times with external parties (such as regulators, auditors, etc.);
:Strong computer skills (Excel, Word, Adobe Acrobat, Access) and a high comfort level with databases and systems.
Founded in 1931, Capital Group is one of the world's largest and most trusted investment management companies a
• Location: Los Angeles
• Post ID: 99858797 losangeles