Compliance Specialist
Capital Group
Singapore, SG
2d ago

Come grow with us

At Capital Group, how we work is defined by shared values that include absolute integrity, respect and collaboration. But it’s more than that.

It’s smart and highly driven people united in purpose to serve our investors and one another.

Bring your energy and unique perspective to Capital and you’ll have the opportunity to grow with us professionally, personally, and financially.

You’ll be part of a team that genuinely cares about helping you succeed. You’ll work alongside talented colleagues, many of whom build long careers while progressing through multiple roles, establishing lifelong friendships and making a difference in our communities.

In return for your contributions, you’ll receive premier compensation and benefits, and a company-funded retirement plan that ranks among the most generous.

The ideal candidate for the open position in the Asia Pacific Legal & Compliance team will have a university qualification, be a highly organized, independent contributor with the ability to interact at all levels of the business on projects with tight deadlines.

Candidates should demonstrate strong verbal and written communication skills and close attention to detail. At least five years’ prior experience in activities of a global or regional cross-border nature and Compliance experience in the financial industry will be highly regarded.

Language proficiency in Traditional Chinese (reading and written skills) as well as ability to converse in Cantonese will be required.

This role will be located in our Singapore / Hong Kong office.

Responsibilities

The role will cover Legal and Compliance tasks with a reporting line to the Regional Compliance Manager located in our Singapore office, including the following :

Marketing document Review :

  • Provide the compliance review of the financial promotions and other material, including website content, created by the Marketing & Communications.
  • Support compliance with local conduct of business rules, CG policies and Fund messaging
  • Assist in establishing / improving and documenting procedures designed to promote best practice for the approval of marketing material for use in Asian locations.
  • Attend industry training sessions for ongoing familiarity with current regulatory thinking on financial promotions.
  • Maintain team log of marketing review requests.
  • Maintain Disclaimer Library to be used by Marketing Communications team - review with the business area on a quarterly or bi-annual basis
  • Compliance Monitoring Programme :

  • Carry out the compliance monitoring tasks identified in the programme and provide reporting to relevant groups.
  • Contribute to the ongoing update of the programme to align with business activities and regulatory changes.
  • Miscellaneous :

  • New client classification / onboarding collection and analysis of KYC, AML and investment suitability documentation and the ongoing updates, including screening of prospects and clients using screening software.
  • Contribute to continuous process improvement efforts across our Asia / Pacific offices.
  • Company Overview :

    Founded in 1931, Capital Group is one of the world’s largest and most trusted investment management companies and home to the American Funds.

    We manage more than US$1.7 trillion in assets, and our 7,500 associates make our clients their first priority every day.

    When we do our job right, millions of investors around the world fulfill their dreams and financial goals, from home ownership and higher education, to a comfortable retirement.

    Our long-term investment results and outstanding service set us apart from our competitors, while our workplace sets us apart from other employers.

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