Compliance Consultant

Our Firm

American Century Investments® is a leading global asset manager with over 65 years of experience helping a broad base of clients achieve their financial goals. Our expertise spans global equities and fixed income, multi-asset strategies, ETFs, and private investments.

Privately controlled and independent, we focus solely on investment management. But there’s an unexpected side to us, too. We direct over 40% of our profits every year—more than $2 billion since 2000—to the Stowers Institute for Medical Research. Our ongoing financial support drives the Institute’s breakthrough work and mission of defeating life-threatening diseases like cancer and Alzheimer’s. So, the better we do for our clients, the more we can do for everyone.

All 1,400 of us across the globe are inspired every day by the unique difference our hard work can make in so many lives. It shows in the curiosity we bring to every initiative, the deep relationships we build with our clients, and the way we treat each other in the hallway. If you’re excited to learn more about us, we can’t wait to learn more about you.

Job Description:

We are seeking a dedicated Compliance Consultant to join our compliance team in a full-time, in-house capacity. This role is an integral part of our team and is responsible for co-leading our Code of Ethics program. The primary responsibility of the Compliance Consultant is to conduct compliance activities in connection with the Code of Ethics, gifts and entertainment and other corporate compliance programs to achieve conformance to SEC, FINRA and applicable Non-US regulations.

Specific job responsibilities:

• Analyze employee personal trading activity for adherence to American Century’s Code of Ethics Policies and investigate potential Code of Ethics violations.
• Confidently interact with individuals at all levels of the organization, including senior positions, to investigate and address issues and enforce the provisions of the Code of Ethics and other compliance policies.
• Prepare clear, concise reports and responses for the Code of Ethics Committee, Fund Boards of Directors, client RFPs and due diligence questionnaires and other interested parties as needed.
• Develop and deliver training to employees on policies and procedures in small groups or through electronic medium.
• Monitor, analyze and report on various business expenses for adherence to gifts and entertainment policies.
• Manage the Hong Kong and Australia entities’ compliance programs:
• Provide oversight of compliance, including provision of regular reporting to the relevant board and management.
• Implement and maintain compliance policies, compliance registers, assess risks, submit regulatory filings and conduct quarterly compliance meetings.
• Leverage external compliance consultants to implement applicable rules and regulations.
• Provide support for the Corporate Compliance Program.
• Propose innovative technological solutions to streamline processes and create efficiencies.
• Identify and analyze new risks or regulatory requirements and the applicability and impact to the firm.
• Design or strengthen compliance controls to meet specific risk or new regulatory requirements.
• Stay informed of industry best practices to enable the compliance team to effectively navigate regulatory changes and uphold the highest standards of ethical conduct.
  
  

Required Skills:

• Strong analytical and critical thinking skills.
• Understand complex policies/procedures and apply them to various scenarios to identify exceptions; utilize judgment appropriately.
• Excellent verbal and written communications with the ability to communicate with individuals at all levels of the company.
• Ability to interpret, understand and apply rules and regulations.
• Demonstrated ability to leverage technology to improve productivity, decision-making and enhanced user experience.
• Effective tact and diplomacy skills to validate understanding of potentially sensitive situations.
• Maintain accurate and current documentation of all processes.
• Ability to conduct routine tasks with accuracy and attention to detail.
• Comfortable accepting direction and training from team leaders.
• Flexibility to work on a small team and learn a variety of compliance functions.
• Demonstrated interest in learning and enhancing compliance technology systems.
• Ability to work with Information Technology partners and third-party vendors to identify and solution issues with supporting systems.
• Highly organized and efficient with the desire and ability to prioritize multiple projects and tasks with overlapping and, at times, inflexible deadlines; allocate time effectively and efficiently.
• Ability to work with minimal direct oversight – although management is available to consult on matters of concern.
• Demonstrated ability to acquire, maintain and continue to develop core skills and knowledge of relevant rules, regulations, and guidelines through independent and formal learning.
  
  

Required Experience:

• Bachelor’s degree in a related field or equivalent combination of education and work experience.
• Minimum of three years of experience in financial services.
• Working knowledge of securities regulatory environment.
• Excellent verbal, written and interpersonal communication skills.
• Solid technical and/or analytical skills to evaluate complex issues.
• Demonstrated ability to use Microsoft Office Suite.
• Knowledge of ACA Compliance Alpha or other compliance software, preferred.
• Demonstrates the American Century Investments Winning Behaviors: Client Focused, Courageous and Accountable, Collaborative, Curious and Adaptable, Competitively Driven, Adheres to the highest ethical standards and business practices, and Supports a culture of compliance
  
  

Travel:

Occasional overnight travel may be required.

Additional Requirements

Employees are required to be in the office on a scheduled frequency. Adherence to this schedule is essential to fulfilling the expectations of the role.

American Century Investments is committed to complying with the Americans with Disabilities Act and all other applicable Equal Employment Opportunity laws and regulations. As such, American Century strives to provide a reasonable accommodation to any qualified individual under the ADA to perform essential job functions.

American Century Investments believes all individuals are entitled to equal employment opportunity and advancement opportunities without regard to race, religious creed, color, sex, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, gender, gender identity, gender expression, age for individuals forty years of age and older, military and veteran status, sexual orientation, and any other basis protected by applicable federal, state and local laws. ACI does not discriminate or adopt any policy that discriminates against an individual or any group of individuals on any of these bases.

American Century Proprietary Holdings, Inc. All rights reserved.