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Portfolio Implementation Compliance Analyst

The Capital Group

The Capital Group

IT, Legal
Posted on Tuesday, July 9, 2024

Role title: Portfolio Implementation Compliance Analyst

Role summary: Works independently on most assignments and in partnership with more senior colleagues on the complex projects, analyses, and tasks. Responsible for overseeing funds/clients’ accounts and other tasks to ensure portfolio compliance and support account activities. Directly engages the Investment Group, works with Trading, and other Global Investment Control (GIC) teams or business groups.

Primary responsibilities/essential functions:

  • Ensure Funds/clients’ accounts are properly constructed with respect to portfolio convictions and remain in compliance with established guidelines, in a timely manner.
  • Responsible for recurring fund/account cashflow activities such as contributions and redemptions, as well as non-recurring fund/account activities as it arises.
  • Support the Principal Investment Officer (PIO) in the oversight of their strategy/mandate and its investment objectives.
  • Support or lead complex portfolio changes.
  • Serves as a resource for multiple departments on client/investment queries.
  • Establishes relationships with the Investment Group and Trading by performing quality work.
  • Leverage new technologies and partner with our technology teams to help grow and scale the business.
  • Performs additional responsibilities as assigned.

Business & technical skills:

  • Demonstrates ability to be self-driven to understand how and why things work and the connections between processes and technology.
  • Demonstrates a working knowledge of the financial industry, Portfolio Implementation and Compliance functions, and interconnections with other GIC teams’ policies, procedures, and systems and ability to apply them to work assignments.
  • Demonstrates a working knowledge of financial instruments (Equities, Fixed income, and Derivatives) used in our investment process, and the ability to apply that knowledge to work assignments. Fixed income and/or Derivatives knowledge would be a plus.
  • Demonstrates strong written and oral communication and interpersonal skills to effectively interact with Investment Group and other GIC teams or business groups.
  • Displays interest in leveraging technologies for process optimization. Working knowledge of applications such as Alteryx, SQL, PowerBI and coding languages would be a plus.


  • Action Oriented – Identifies and seizes new opportunities. Displays a can-do attitude in good and bad times.
  • Ensures Accountability – Acts with a clear sense of ownership. Takes personal responsibility for decisions, actions, and failures.
  • Nimble learning – Learns quickly when facing new situations. Experiments to find new solutions.
  • Manages Complexity – Asks the right questions to accurately analyze situations.
  • Communicates Effectively – Is effective in a variety of communication settings: one-on-one, small, and large groups, or among diverse styles and position levels.
  • Tech Savvy – Anticipates the impact of emerging technologies and adjusts. Readily learns and adopts new technologies.

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.