Location: Los Angeles, CA
investment trusts. You will join a global group of highly experienced lawyers and compliance professionals who work collaboratively to guide business decisions that make an impact in our highly regulated environment. Every day, you will provide guidance to internal stakeholders on the applicability of rules and regulatory requirements, internal guidelines and disclosure standards, and other risk related issues when reviewing communication materials.
To thrive in this role, you're experienced in reviewing marketing communications, you enjoy providing necessary guidance to writers and others, and you are passionate about staying informed about advertising and sales literature regulatory
policies. " I am the person Capital Group is looking for. " You have in depth knowledge of various investment vehicles including ETFs, mutual funds, separate accounts, SMAs and CITs, and experience with the regulatory framework applicable to marketing communications used by broker/dealers and RIAs to offer and promote the vehicles.
You have ETF experience, preferably with the creation and review of ETF marketing content. You're well versed in the rules governing securities advertising and have detailed knowledge of investment and economic concepts. You're comfortable acting as a subject matter expert with marketing department associates and providing guidance on applicable regulatory
requirements. You have experience with the SEC Marketing Rule related to the implementation of required policies and procedures as well as application of the Rule to advertisements.
Attention to detail has always been your thing. You're highly observant and can identify opportunities to enhance the control environment through sound business recommendations. You're familiar with project life cycles and are motivated to meet deadlines without sacrificing quality. Your resilience has helped when you've enlisted the help of others, sifted through large data sets, re-prioritized, strategized, tailored communication, embraced conflict and identified critical issues.
You are able to manage competing priorities. You are comfortable when priorities shift, and you manage change with steadfast composure. You are comfortable leveraging technology to improve efficiency. You are a skilled communicator. You place a high value on being authentic, respectful, and engaging. By asking great questions and bouncing ideas off others, you proactively share your perspective. You're a skilled communicator and thrive in team settings by being authentic, respectful, and engaging. At the same time, you enjoy working independently. You appreciate the sense of accomplishment achieved when a job is done right, or you solve a problem using your good judgment.
Southern California Base Salary Range: $125,329-$200,526 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. 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, interaction (including gender and gender identity), pregnancy, childbirth and related medical conditions, age, physical or mental disability, medical condition, genetic information, marital status, interactionual 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.
For more details: jobs-search. org/compliance-lead_los-angeles-c426443/compliance-lead-los-angeles_i1971599304
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