Compliance Consultant

About Us

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 multiasset strategies ETFs and private investments.

Privately controlled and independent we focus solely on investment management. But theres an unexpected side to us too. We direct over 40% of our profits every yearmore than $2 billion since 2000to the Stowers Institute for Medical Research. Our ongoing financial support drives the Institutes breakthrough work and mission of defeating lifethreatening diseases like cancer and Alzheimers. So the better we do for our clients the more we can do for everyone.

All 1400 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 youre excited to learn more about us we cant wait to learn more about you.

Role Summary

We are seeking a dedicated Compliance Consultant to join our compliance team in a fulltime inhouse capacity. This role is an integral part of our team and is responsible for coleading 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 NonUS regulations.

This hybrid position will be based out of our Kansas City MO office.Occasional overnight travel may be required.

This position is not eligible for visa sponsorship. Applicants must be authorized to work in the U.S. without visa sponsorship now or in the future.

How You Will Make an Impact

• Analyze employee personal trading activity for adherence to American Centurys 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 including the following: 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 and 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.

What You Bring to the Team (Required)

• Bachelors 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.

• 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 decisionmaking 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 thirdparty 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.

• Demonstrates the American Century Investments Winning Behaviors: Client Focused Courageous and Accountable Collaborative Curious and Adaptable Competitively Driven.

Additional Assets (Preferred)

• Knowledge of ACA Compliance Alpha or other compliance software preferred

The above statements are not intended to be a complete list of all responsibilities duties and skills .

What We Offer

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.

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American Century Proprietary Holdings Inc. All rights reserved.