Senior Compliance Specialist

Posted:
10/23/2024, 5:00:00 PM

Location(s):
Los Angeles, California, United States ⋅ California, United States

Experience Level(s):
Senior

Field(s):
Legal & Compliance

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

At Capital Group, we are dedicated to helping associates observe exemplary standards of integrity, honesty, and trust. It sets out standards for our personal conduct, including personal investing, gifts and entertainment, outside business interests and affiliations, political contributions, insider trading, and client confidentiality.

As a Senior Compliance Specialist, you will help ensure internal departments are current with compliance policies and regulations. You’ll advise business areas on compliance processes and build relationships.

You’ll engage in identifying issues, problem solving, and providing feasible recommendation options for implementation within various compliance processes. You may lead departmental and inter-departmental projects and leverage your passion for process optimization to support our global compliance efforts.

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

  • You demonstrate sound judgment in resolving matters of high complexity and consistently identify, assess, respond to, and escalate risks effectively.

  • You take initiative by identifying issues and recommending comprehensive solutions.

  • You have effective written and oral communication skills and can engage with a diverse group of associates and senior business leaders.

  • You can lead and manage projects, document milestones, and proactively provide updates to leaders/stakeholders ensuring timely completion.

  • You have knowledge of regulatory compliance standards and an eagerness to stay informed about current and future policies, practices, trends, technology, and information affecting the department/business area.

  • You demonstrate organizational agility and manage ambiguity effectively.

  • You demonstrate the ability to use technology to automate or streamline processes and partner with senior associates and/or IT to build target states.

*Deadline to apply: Thursday, 11/7

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Southern California Base Salary Range: $103,977-$166,363

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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.