Compliance Associate

Req ID: 14744
Experience Level: Entry-Level
Other Location(s):N/A
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 its more than that. Its smart and highly driven people united in purpose to serve our investors and one another.

Bring your energy and unique perspective to Capital and youll have the opportunity to grow with us professionally, personally, and financially. Youll be part of a team that genuinely cares about helping you succeed. Youll 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, youll receive premier compensation and benefits, and a company-funded retirement plan that ranks among the most generous.

Capital Group’s Compliance team is a critical resource for our business area assessments of risk. Our team continuously educates, collaborates, and makes recommendations to our business groups to ensure compliance with regulatory and legal requirements.  As a Compliance Associate based in our Los Angeles office, you will be responsible for partnering closely with our in-house lawyers and compliance managers to coordinate reporting, and prepare regulatory filings. You will provide compliance support for business partners and be part of a team supporting derivative operations and on-boarding. You will be expected to stay apprised of current US and global issues, Capital Group standards, and regulatory compliance and assist with a variety of projects and initiatives to support our business.  Responsibilities:•Manage the reporting and coordinate efforts for regulatory filings for U.S. Commodity Futures Trading Commission (CFTC), National Futures Association(NFA) and other regulatory entities•Partner with Derivative Operations to coordinate with brokers on new account openings to ensure agreement compliance•Track status of all pending and completed trading agreements•Assist with other regulatory filings as needed•Support implementation of new regulations and related requirements•Support projects and research for managers and attorneys  Qualifications:•2+ years of professional experience in a corporate environment•A self-starter with excellent judgment, exceptional communication skills, strong customer service and professionalism •A strong problem-solver with initiative to work creatively and independently with competing deadlines and priorities•Demonstrates a high level of time management, organizational skills, and attention to detail with integrity and ownership of work•Bachelor’s degree required

Company Overview:
Founded in 1931, Capital Group is one of the worlds largest and most trusted investment management companies and home to the American Funds. We manage more than US$1.39 trillion in assets, and our 7,500 associates make our clients their first priority every day. When we do our job right, millions of investors around the world fulfill their dreams and financial goals, from home ownership and higher education, to a comfortable retirement. Our long-term investment results and outstanding service set us apart from our competitors, while our workplace sets us apart from other employers.

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.

Capital Group
Full time
Los Angeles, California 90071, United States