Legal & Compliance Specialist Senior
Capital Group
London, GB
1m ago

You define yourself by more than just a job title, and we want you to feel comfortable bringing your true self to work. We value your talents, your traditions and your take on the world ̶ everything that makes you unique.

We’re working hard to advance diversity, equity and inclusion in our organization and our communities because we know that what makes us different makes us better.

We want you to feel a strong sense of belonging. We value and welcome your experiences, ideas and identity. Over 40 employee resource groups unite our people and help to develop our collective empathy through unfiltered conversations about race, ethnicity, gender, gender identity, sexual orientation, faith, disabilities, mental health and so much more.

I can influence my income.

You want to feel recognized at work. Your performance will be reviewed annually, and your compensation will be designed to motivate and reward the value that you provide.

You’ll receive a competitive salary, bonuses and benefits. Your company-funded retirement contribution will be the equivalent of 15% of your annual pay (including bonuses).

I can lead a full life.

You bring unique goals and interests to your job and your life. Whether you’re raising a family, you’re passionate about where you volunteer, or you want to explore different career paths, we’ll give you the resources that can set you up for success.

  • Enjoy generous time-away and health benefits from day one, with the opportunity for flexible work options
  • Receive 2-for-1 matching gifts for your charitable contributions and the opportunity to secure annual grants for the organizations you love
  • Access on-demand professional development resources that allow you to hone existing skills and learn new ones
  • COVID-19 HIRING : Our recruiting and onboarding activities are virtual during the pandemic and we’ve transitioned to a work-from-home environment until further notice.

    We are offering generous work-from-home benefits to improve our associate’s ability to work remotely.

    I can succeed as a Legal & Compliance Secialist Senior at Capital Group"

    The L&C Senior Specialist will be responsible for helping on the compliance requirements regarding OEICS funds and a UK based UCITS management company.

    You will be researching, collecting and reviewing documents for a variety of regulatory filings, prospectus, contracts and assisting with regulatory supervisory activities and audits.

    You will also be drafting and reviewing compliance policies, processes, controls and procedures, and assisting internal departments to enhance and improve these controls.

    Primary responsibilities / essential functions

  • Drafts, prepares and reviews documentation for regulatory filings - in particular with the FCA in the UK including working on prospectus or other documents and agreements.
  • Helps on the compliance requirements regarding UK UCITS funds and a UK-based UCITS management company (incl. client money regulations).
  • Helps maintain, draft and / or update compliance manual, internal policies and procedures for our UK based entities.

  • Supports on regulatory matters for our UK entities and funds.
  • Researches issues / requirements and collects and reviews documents for regulatory visits, audits, requests, applications, boards, and other legal processes.
  • Take initiative to coordinate with auditors, external counsel, board members, and internal business groups on issues, as needed.

  • Drafts and reviews internally generated documents and external agreements / correspondence for compliance and business purposes.
  • Supports needs of clients, auditors, and regulators by assisting internal business departments with responses to queries or troubleshooting issues.
  • Initiates interactions with attorneys, external 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. Educates and gives guidance to business areas on compliance processes.
  • Builds relationships with internal departments.

  • Engages in identifying issues, problem solving, and providing feasible recommendation options for implementation within various legal and compliances processes.
  • Partners with attorneys and managers on issues of higher complexity.

  • Participates in and may lead departmental and inter-departmental projects.
  • Performs additional responsibilities as assigned.
  • Skills / qualifications

  • Demonstrates sound judgment and ability to independently resolve matters of moderate to high complexity.
  • Demonstrates initiative by identifying issues and recommending comprehensive solutions.
  • Demonstrates effective written and oral communications skills with a diverse group of associates and senior business leaders.
  • Demonstrates ability to plan processes and work for a group or team to assure work is completed in a timely manner.
  • Demonstrates ability to collaborate and develop / maintain relationships within Capital.
  • Demonstrates knowledge of regulatory compliance standards. Exhibits knowledge in current and possible future policies, practices, trends, technology and information affecting the department / business area.
  • Demonstrates ability to lead and manage projects within the team.
  • Demonstrates organizational agility and ability to manage ambiguity.
  • Demonstrate ability to effectively use technology as a tool to better automate or streamline processes.
  • Demonstrates meticulous attention to detail.
  • Demonstrates ability to maintain a high level of confidentiality and integrity.
  • Self-directed with the ability to work both collaboratively and independently to consistently meet quality and time deadlines.
  • Core requirements

  • Degree / 5+ years min work-experience
  • Able to speak and work in English; second European language a preference
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