“I can succeed as a Compliance Specialist at Capital Group.”
As a Compliance Specialist in our Canadian operations, you will serve as a key member of a growing business within the larger Capital Group organization. You will be responsible for researching, collecting and reviewing documents for a variety of regulatory and corporate filings. You will assist with regulatory supervisory activities and audits, draft and review compliance policies, processes, controls and procedures and assist internal departments to enhance these controls.
Essential functions:
- Attend to regulatory and corporate filings in a timely and effective manner
- Attend to corporate governance matters for product offerings, including drafting board resolutions, certificates, etc.
- Provide guidance on registration-related matters and attend to all registration-related filings in a timely and effective manner
- Conduct and document social media reviews
- Assist with training and onboarding of new associates together with the ongoing training and guidance needs of the business
- Assist the team with prospectus filings and renewals
- Coordinate and prepare meeting packages for Independent Review Committee meetings
- Review AML reports and attend to relevant AML filings, as necessary
- Provide compliance oversight and guidance on sales practices matters
- Keep abreast of internal and external trends and changes in regulatory practices
- Develop, recommend and manage processes, procedures and practices for compliance with regulatory developments
- Identify opportunities to streamline existing processes to improve efficiency
- Participate in regulatory projects as assigned, working with key stakeholders to execute and support the Compliance Program
“I am the person Capital Group is looking for.”
- You have previous experience of at least five (5) years of relevant compliance or legal experience with an investment fund manager and portfolio manager
- You have knowledge of NRD, and SEDAR+
- You have strong knowledge and understanding of applicable regulations, including sales practice rules; AML legislation and FINTRAC guidance; and securities registration requirements
- You can interpret relevant legislation (NI 81 series, NI 31-103 and related instruments)
- You have demonstrated a desire for continuous learning and ideally completed relevant compliance courses (i.e. Investment Funds course, CSC)
- You can draft minutes of meetings and prepare IRC materials
- You are detail-oriented, with a demonstrated ability to research and analyze regulatory requirements and work independently
- You have strong analytical and problem-solving skills
- You have the ability to clearly communicate complex compliance requirements to business units
- You have a securities law clerk designation (preferred)
- You have experience working with a securities regulator (preferred)
Supplemental Information:
- Salary Range: $86,000 - $136,000 CAD
- Current Work Model: Hybrid (3 days in office)
Capital International Asset Management (Canada), Inc. (CIAM) welcomes and encourages applications from people with disabilities. Accommodations are available on request for candidates taking part in all aspects of the selection process.
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.
