“ I can succeed as a Compliance Specialist”
Primary responsibilities/essential functions:
Distribution, sales and marketing (“DSM”) compliance: Reviews and approves marketing materials of APACxJ. Participates as an active member to contribute APACxJ input in regional or global projects and initiatives. Possesses the ability to read and write both traditional and simplified Chinese.
Regulatory filings: Prepares, reviews, manages and files required statutory documentation to regulators in APACxJ relating to appointed representatives and firm-wide licensing obligations including annual filing, periodic and ad-hoc regulatory surveys and submissions.
AML/CFT assessment: Conducts ML/FT risk assessment on the firm and due diligence on customers based on regulations, policies and procedures, provides AML/CFT guidance to client-facing teams, conducts analysis and implements changes of AML/CFT requirements in policies and procedures and handles ad-hoc AML/CFT-related queries.
With respect to the above area and duties of other areas as assigned, the Compliance Specialist should:
Ensure internal departments are current with compliance policies and regulations.
Initiate analysis of regulations, to understand and translate underlying requirements into efficient and effective processes and controls.
Partner with compliance professionals in other regions to form a global perspective.
Educate and give guidance to business areas on compliance processes.
Partner with leadership to resolve issues by implementing agreed upon solutions.
Research issues/requirements and collect and review documents for regulatory exams, audits, requests, applications, and other legal processes. Under direction, reach out to regulatory authorities, auditors, and internal business groups as appropriate.
Support of clients, auditors, and regulators by assisting internal business departments with responses to exams, queries or troubleshooting issues.
Interact with attorneys, external counsel and regulators on various issues, with guidance from leaders in the team.
Participate in departmental and inter-departmental projects.
Train more junior associates.
Perform other duties as assigned.
Skills/qualifications:
Demonstrates knowledge of regulatory compliance standards. Exhibits knowledge in current and possible future policies, practices, trends, technology and information affecting the department/business area.
Judgement/manage complexity: Demonstrates sound judgment in resolving matters of moderate complexity. Able to make sense of complex matters, analyzing multiple and diverse sources of information to solve problems.
Initiative: Consistently demonstrates initiative by identifying issues and recommending solutions.
Effective communication: Demonstrates effective written and oral communications skills with a diverse group of associates and senior business leaders.
Prioritization: Consistently demonstrates ability to prioritize work and complete in a timely manner.
Collaboration: Demonstrates ability to collaborate and develop/maintain relationships across department.
Nimble learning/situational adaptability: Self-directed with the ability to work both collaboratively and independently to consistently meet quality and time deadlines. Demonstrates meticulous attention to detail. Adapts approach and demeanor in real time to match the shifting demands of different situations.
Simplify and scale: Demonstrate ability to utilize technology to enhance, refine, and streamline processes.
Confidentiality and integrity: Maintains a high level of confidentiality and integrity.
Self-awareness: Reflects on work product and seeks/acts on feedback from a wide variety of people.
Assess risk: Demonstrates the ability to identify, assess, and escalate risks or potential risks encountered through day-to-day activities.
Customer focus: Delivers solutions that meet client/business partner expectations and regulatory requirements.
Instills trust: Gains the confidence and trust of others easily.
Project management: Demonstrates ability to manage individual projects including documenting milestones and proactively providing updates to leaders/stakeholders.
“I am the person Capital Group is looking for.”
Must be at least a degree holder
Minimum seven years of compliance experience in investment management (preferred), securities or financial services industry
Must be proficient and confident in reading and writing both Traditional Chinese and Simplified Chinese and ability to translate from English to both Traditional Chinese and Simplified Chinese
Experience in managing communication with APACxJ regulators on licensing matters is a plus
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.
