“I can succeed as a Compliance Lead at Capital Group.” 

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.

“I am the person Capital Group is looking for.” 

• You have 8+ years of industry and/or compliance experience within financial services. You have a great level of anticipation and strong ability to convey regulations and policies.  
• Throughout your professional career, you’ve developed sound judgment by using a combination of deep, relevant experience and analytical skills. You interpret evidence to make decisions and are well-versed in assembling facts.
• You are well-versed in navigating ambiguity. You have examples of times when you’ve acted without knowing all the details and confidently made determinations. You plan for various scenarios with alternative solutions, and you fully embrace change.  

• You can synthesize obscure information into simplified points that tell a cohesive story. You’re a quick thinker who uses process and reason to tackle your workload. 
• You ask great questions, bounce ideas off others, and share your perspective with conviction. You take the time to create and maintain meaningful relationships. You’re a generous collaborator who is trustworthy and dependable.  
• You’ve fine-tuned your communication style to influence a variety of personalities. You appreciate the importance of mindful communication when working within an inclusive environment. 
• You hold one or more of the following licenses: Series 7, 24, and 66 (or equivalent)

Working conditions:

• This role requires domestic travel of about 25%.