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

"I can suceed as a Compliance Manager"

As a key member of the Europe-APAC exJapan (EA) Compliance Distribution, Sales and Marketing (DSM) Compliance team, this role supports the EA DSM Compliance Senior Manager in leading the Asia Pacific exJapan DSM Compliance function. This manager position provides leadership, strategic direction, and technical expertise to the Asia Pacific DSM Compliance team and works closely with its European counterpart to ensure a coordinated and effective compliance framework across the regions and globally.

The role is responsible for providing advice and overseeing compliance on Distribution, Sales and Marketing activities across Asia Pacific exJapan, including marketing communications, RFPs, regulatory guidance on cross-border prospecting activities, and the corresponding sales and marketing oversight. The role also leads the development and implementation of compliance policies, guidance, and training, while partnering closely with Legal, Risk, and Compliance colleagues globally.

In addition, this person will support the Asia Pacific MLRO in overseeing and approving clients in the region from a financial crime compliance perspective.

The successful candidate will establish and maintain trusted relationships with business leadership and associates across the Distribution, Sales and Marketing functions, providing practical, risk-based compliance advice and fostering a strong culture of compliance. The role is expected to drive continuous improvement, foster collaboration across jurisdictions, and adapt effectively to evolving business and regulatory needs.

Role & Responsibilities:

Distribution, Sales and Marketing Advisory & Compliance

Lead and manage the Asia Pacific DSM Compliance team under the direction of the EA DSM Compliance Manager, providing strategic leadership, oversight, coaching, and development.

Serve as a trusted advisor to EA Marketing, Sales, and Sales Leadership, providing risk-based compliance guidance on distribution, sales, marketing, and cross-border activities.

Oversee the review and approval of marketing and client-facing materials, including marketing communications, DDQs, RFIs, RFPs, websites, social media, and other promotional content, ensuring compliance with applicable legal, regulatory, and internal requirements.

Lead the development, implementation, and continuous enhancement of compliance policies, guidance, processes, and controls supporting EA sales and marketing activities across Asia Pacific.

Monitor regulatory developments and emerging risks, assessing business impacts, providing training and guidance, and driving appropriate responses across the region.

Lead and contribute to regional and global strategic initiatives, identifying and resolving complex compliance issues while promoting operational efficiency and consistent practices across jurisdictions.

Build and maintain effective relationships with key internal and external stakeholders, including Distribution, Sales and Marketing leadership and associates, Legal, Risk & Compliance colleagues globally, external counsel, auditors, regulators, and industry associations, fostering collaboration and a strong culture of compliance across the organization.

AML Compliance Officer

Support the Asia Pacific MLRO in the oversight and approval of clients in the region from an AML and financial crime compliance perspective, in accordance with applicable regulatory requirements and internal policies.

Provide advice and challenge on AML, sanctions, anti-bribery and corruption, and other financial crime matters relating to client onboarding, ongoing due diligence, escalations, and periodic reviews.

Work with operations, and business teams to ensure AML-related policies, procedures, controls, training, and monitoring remain effective and aligned with regulatory expectations and global standards.

"I am the person Capital Group is looking for."

Proven leadership and people management experience, with the ability to lead, develop, and motivate a team across multiple jurisdictions.

Extensive knowledge of the financial services industry and the Asia Pacific and global investment management regulatory environment.

Understanding of AML and financial crime compliance requirements, including client due diligence, sanctions screening, suspicious activity escalation, and financial crime risk management.

Strong analytical and judgment skills, with the ability to interpret complex regulations and provide practical, risk-based advice.

Strong stakeholder management and influencing skills, with the ability to build trusted relationships across Sales, Marketing, and Legal, Risk & Compliance.

Strategic mindset with a focus on innovation, continuous improvement, and operational excellence.

Excellent communication, organizational, and project management skills.

High levels of integrity, professionalism, and attention to detail, with the ability to leverage technology and automation to enhance compliance processes and efficiency.

Core Requirements

University degree required; legal, compliance, regulatory, or other relevant professional qualifications/certifications are an advantage.

10+ years of relevant compliance experience within the financial services industry (asset management, investment funds, banking, or financial advisory services), or with a leading consulting or audit firm supporting such institutions.

Demonstrated leadership and people management experience, including leading, developing, and coaching compliance professionals and managing teams across multiple jurisdictions.

Demonstrated experience providing compliance oversight and advisory support for distribution, sales, marketing, financial promotions, and cross-border activities across Asia Pacific.

Demonstrated experience with AML and financial crime compliance oversight, including client due diligence, sanctions screening, escalations, monitoring, and coordination with an MLRO or equivalent financial crime leadership.

Strong understanding of the Asia Pacific investment management regulatory landscape and relevant global regulatory frameworks.

Experience partnering with senior business stakeholders, including Sales, Marketing, and executive