Compliance Manager

"I can be myself at work."

You are more than a job title. We want you to feel comfortable doing great work and bringing your best, authentic self to everything you do. We value your talents, traditions, and uniqueness-and we're committed to fostering a strong sense of belonging in a respectful workplace.

We intentionally seek diverse perspectives, experiences, and backgrounds, investing in a culture designed to celebrate differences. We believe that belonging leads to better outcomes and a stronger community of associates united by our mission. At Capital, we live our core values every day: Integrity, Client Focus, Diverse Perspectives, Long-Term Thinking, and Community.

"I can influence my income."

You want to feel recognized at work. Your performance will be reviewed annually, and your compensation will be designed to motivate and reward the value that you provide. You'll receive a competitive salary, bonuses and benefits. Your company-funded retirement contribution will factor in salary and variable pay, including bonuses.

"I can lead a full life."

You bring unique goals and interests to your job and your life. Whether you're raising a family, you're passionate about where you volunteer, or you want to explore different career paths, we'll give you the resources that can set you up for success.

• Enjoy generous time-away and health benefits from day one, with the opportunity for flexible work options
• Receive 2-for-1 matching gifts for your charitable contributions and the opportunity to secure annual grants for the organizations you love
• Access on-demand professional development resources that allow you to hone existing skills and learn new ones

• Acts as principal point of contact for internal and external stakeholders (including regulators) in relation to financial crime.
• Provides expert advice and support to the team responsible for onboarding new distributors/direct clients and identification of high-risk customers, due diligence, screening and ongoing monitoring.
• Reviews and approves queries escalated by our internal teams and Transfer Agent for high-risk indicia identified for new or existing clients, counterparties, and transactions, escalating where risks may exceed Capital Group's risk appetite threshold.
• Undertakes AML/CFT compliance monitoring as well as AML/CFT related due diligence in respect of delegates, including oversight of delegated asset due diligence activities.
• Undertakes regulatory watch in relation to AML and financial crime. Regulatory change management.
• Participates in industry working groups as appropriate on regulated matters.
• Researches issues/requirements and collects and reviews documents for regulatory visits, audits, requests, applications, board materials and other internal processes.
• Coordinates with auditors, external counsel, board members, and internal business groups on issues, as needed.
• Drafts and reviews policies, processes, controls and procedures with the ability to advise and provide recommendations to internal departments to enhance and improve these controls.
• Prepares the annual ML/TF risk assessments for CIMC, including European branches, and Funds, and drives the ML/TF Risk Appetite discussions and approval with relevant leadership bodies.
• Supervises the preparation of the annual CSSF Financial Crime Survey and annual AML/CTF report filed with the CSSF.
• Supports needs of clients, auditors, and regulators by assisting internal business departments with responses to queries or troubleshooting issues.
• Ensures internal departments are current with AML and Financial Crime policies and regulations, building a strong internal network to maintain open, constructive relationships.
• Engages in identifying issues, problem solving, and providing feasible recommendation options for implementation of acceptable solutions.
• Responsible for the design, execution and delivery of applicable AML and Financial Crime training.

• Extensive knowledge and experience across all financial crime risk pillars (Money Laundering, Sanctions, Fraud, Bribery & Corruption and Tax Evasion), as well as experience in developing a financial crime compliance framework.
• Demonstrates sound judgment and ability to independently resolve matters of moderate to high-risk complexity.
• Demonstrates initiative by identifying issues and recommending comprehensive solutions.
• Demonstrates effective written and oral communication skills with a diverse group of associates and senior business leaders.
• Demonstrates ability to plan processes and collaborate with a group or team to assure work is completed in a timely manner.
• Demonstrates ability to network and develop/maintain active relationships within and outside of the Group.
• Demonstrates organizational agility and ability to manage ambiguity.
• Demonstrates meticulous attention to detail.
• Demonstrates ability to maintain a high level of confidentiality and integrity.
• Self-directed with the ability to work both collaboratively and independently to consistently meet quality and time deadlines.

• Degree / 10+ of relevant financial crime experience
• Able to speak and work in English; second European language a preference.
• Holds an industry Financial Crime Compliance qualification at a professional level (e.g., ICA Diploma or ACAMs).
• Is it not theoretically broader given CIMC's funds are distributed outside of the EU?
• Do we need to define or could you just say CIMC which is already defined as the IFM above?