Principal Compliance Lead

Role Summary

Partner with investment compliance stakeholders to provide legal and compliance expertise to support Capital Groups global investing and trading activity. Additionally, work to ensure the compliance of our business and corporate entities in Europe.

Primary Responsibilities/essential Functions

Every person within the Europe Legal & Compliance (L&C) team is responsible for legal, regulatory, and compliance tasks and is expected to collaborate with other associates across multiple jurisdictions. The precise requirements of the role will develop over time in response to changing needs of the business, however, we would expect the successful candidate to have the following main responsibilities:

• Facilitate the transactions process by collaborating with Capital Group attorneys and compliance professionals, internal stakeholders, brokers, and investee companies.
• Operate within tight deadlines; review, draft, and negotiate documentation; effectively identify and communicate distinctive aspects of transactions and provide thought leadership to resolve issues.
• Be knowledgeable about and track developments related to the requirements of applicable investment-related rules and regulations, including any reporting requirements, for Capitals clients, funds, and entities in Europe. You will take primary responsibility for the oversight of compliance with any such rules and regulations.
• Oversee, review, and approve wall crossing requests from sell-side brokers; ensuring the processes related to complying with the Market Abuse Regulation are operating optimally.
• Organize and deliver training on relevant investment compliance and investment-related regulatory topics as required.
• Lead or partner on interactions with attorneys, external counsel, and regulators to deliver high-quality work product.
• Propose and implement enhancements to business processes.
• Establish and develop external networks with industry associations and with regulatory authorities to gather intelligence and advise the business effectively.
• Assist other team members to support the need of internal business departments with responses to queries or troubleshooting issues.
• This role may manage people.
• Performs additional responsibilities as assigned.

Skills/qualifications

• To thrive in this role, you have experience as a paralegal supporting capital markets, M&A or corporate finance. Asset management or broker experience in trading activities is a plus.
• Have a strong understanding of the European and Global investment management regulatory environment.
• You pride yourself on building meaningful relationships, establishing trust, and influence others with the ability to remain impartial and independent in your views.
• You possess a curious mindset, actively listening to others' perspectives, uncovering important differences of opinion, and challenging the status quo.
• You demonstrate sound judgment, nimble learning, and intellectual curiosity, with the ability to handle ambiguity and resolve complex matters autonomously.
• Take initiative by leading projects, identifying issues, offering resolutions, and sharing recommendations on a range of matters.
• You have a strong commitment to quality, accuracy, and attention to detail.
• Prioritize work and complete in a timely manner.
• You possess excellent written and verbal communications skills enabling you to engage effectively with individuals within the firm at all seniority levels as well as those outside the organization.
• Operate autonomously and independently where required with the capability to collaborate and work effectively as part of a team.
• Ability to adapt to the needs of a growing business.
• Ability to maintain a high level of confidentiality and integrity.
• Ability to utilize technology to refine, automate, streamline, and scale processes.

Core Requirements

• Degree with 7+ years of relevant experience
• Able to speak, draft, and work in English

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 Capitals annual profitability bonus plus a retirement plan where Capital contributes 15% of your eligible earnings.