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Capital Group Hiring Ethics Compliance Specialist

Posted on: 20 Nov 2018 557 views
: Ethics Compliance Specialist
: Capital Group
: Los Angeles, California, United States

Date: Nov 19, 2018

Location: Los Angeles, CA, US, 90071

Company: Capital Group

Req ID:  24461
Experience Level: Professional 
Other Location(s): N/A   

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.


Capital Group’s Code of Ethics team supports the various committees and attorneys who administer internal policies to avoid situations that may create, or appear to create, a conflict of interest between personal interests and the interests of our fund shareholders and clients.



As an Ethics Compliance Specialist based in Los Angeles, you will be responsible for maintaining and managing tasks to support associate guidelines related to Personal Investing, Gifts and Entertainment, Political contributions, and Outside Business and Interests/Affiliations. This includes the responsibilities below.



•Serves as a subject matter expert of the Code of Ethics Policies which include personal investing political contributions, gifts and entertainment, and outside business interests/affiliations. Also provides direction and leadership in one or more of these areas.

•Oversees the work of department associates to ensure completeness and accuracy. 

•Reviews pre-clear requests from global associates to trade their personal securities in compliance with Capital’s Personal Investing Policy utilizing multiple internal trading and investment systems as well as knowledge of internal controls. 

•Reviews disclosures to ensure covered associates conform to Capital’s Code of Ethics Policy. Act as a subject matter expert in one or more functions within the Code of Ethics realm of responsibilities

•Perform additional responsibilities.


•3+ years of experience in legal, compliance, or code of ethics 

•Demonstrates high degree of intellectual curiosity with financial regulations, an ability to learn on-the-fly, exercise sound business judgment, work collaboratively, and engage in critical thinking and analysis

•Demonstrates exceptional time management, organizational skills, and attention to detail with integrity and ownership of work

•Proficiency with MS Office and strong aptitude for learning new databases

•Familiarity with securities industry preferred

•Bachelor’s degree  preferred


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. 


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. 


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