Compliance Specialist
Capital Group Companies - Los Angeles, CA

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Drafts, interprets, and negotiates new and revised investment management agreements and other legal documents for large institutional clients.

Responsible for reviewing contractual requirements, and working closely with affected business areas to insure contractual terms will be met.

Prepares regulatory business critical filings.
  • Researches filing requirements online to ensure all necessary documentation and procedures are adhered to.
  • Facilitates meetings with business groups to inform and obtain information regarding changes to applicable regulatory requirements.
Researches, collects and reviews documents for regulatory exams and audits.
  • Follows up with the business units regarding required documentation and prepares responses to areas of inquiry.
Ensures internal departments are current with compliance policies and regulations.

Supports clients needs by assisting internal business departments with responses.
  • Escalates complex questions or situations to Compliance management team or attorneys as appropriate. Hiring Criteria Skills/qualifications:
Bachelor’s degree required; legal degree, paralegal certificate, or other legal education preferred.

Strong attention to detail - especially in document review and redlining, in order to identify and extract key elements within contracts.

Strong analytical and problem solving skills to help identify alternative language or wording when required.

Good judgment and decision making skills; recognizing when to escalate an issue to other business areas.

Strong communication skills, including the ability to speak directly with clients.

Flexibility to work in a fast paced environment, ability to adjust priorities to meet changing client timelines/requests.

Experience with preparing side letters and other related legal correspondence.

Several years experience in a legal department, a law firm, or the financial services industry.

In addition, you must be able to:
Work with team members and other groups in our collaborative environment to enhance work processes and improve overall service delivered to clients.

Be a resource to the team, to peers and to other business groups by answering questions, sharing information and knowledge and helping implement special processes where necessary for legal issues.

Deliver a high level of service to both external and internal clients.

Balance concurrent projects and recognize which projects require the most urgent attention

Capital Group Companies - 2 years ago - save job - copy to clipboard
About this company
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The Capital Group Companies, founded in 1931, has built a business being a steady Eddy for its clients. As a rule, the investment firm...