Compliance Officer Compliance Officer …

Wellington Management Company, LLP
in Luxembourg
Permanent, Full time
Last application, 25 Oct 21
Competitive
Wellington Management Company, LLP
in Luxembourg
Permanent, Full time
Last application, 25 Oct 21
Competitive
Compliance Officer
WELLINGTON MANAGEMENT

Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients.

We are transitioning to a hybrid work environment where both remote work and the office play a critical role. Our vision is a future where all employees are empowered to work flexibly to drive the best outcomes for our clients. Flexible work is a mindset and a core value. Our employees are encouraged to work remotely two days a week as a standard practice and will have flexibility in terms of working hours.

POSITION

The Compliance Officer, Fund MLRO role has overall responsibility for overseeing the AML/ CTF compliance programs of the firm's Luxembourg and Irish fund ranges, including serving as the appointed MLRO for the funds and our Luxembourg management company. This role, based in Luxembourg, will be part of the firm's EMEA compliance team, reporting into the Chief Compliance Officer of our Luxembourg management company.

This role will interact regularly with our fund and Luxembourg management company board of directors and Executive Committees, as well as with our business and risk management partners. This is a collaborative position, forming a key part of the internal and external teams responsible for ensuring compliance with AML/ CTF regulations applicable to our EU-domiciled funds.

Responsibilities
  • Serve as the money laundering reporting officer for our EU domiciled funds and the "RC" for our Luxembourg Management Company, with accountability to regulators and fund boards of directors
  • Ensure the EU fund AML programme meets regulatory obligations and our enterprise standards and best practices
  • Develop strong collaborative relationships with key stakeholders in fund management, fund administration and client servicing to facilitate strong end-to-end support of the EU fund compliance programme
  • Manage internal and external audits and regulatory exams relating to the Fund AML compliance programme; attend to required AML related regulatory filings
  • Maintain relevant policies and procedures, conduct risk assessments, and periodically report on the status of the programme to senior leadership and governance committees
  • Provide advice and support to the business
  • Draft regulatory Fund submissions, investigate and manage responses to regulatory questions
  • Monitor and advise on regulatory change; co-ordinate the introduction of new regulatory requirements in the Fund AML programme
  • Provide training to internal groups supporting the Fund AML compliance programme
Qualifications and experience
  • Demonstrated track record of development & progression in AML compliance roles; experience serving as a senior AML Compliance Officer or MLRO a plus
  • Experience interacting with, advising and influencing senior business professionals and Boards of Directors
  • Experience representing a firm/compliance program in front of regulators in exam or enforcement settings
  • Experience leading cross functional initiatives, including project and process management skills, technology implementation skills, etc.;
  • A willingness to take on new career challenges, demonstrated by taking on complex or differentiated work assignment or career rotations
  • A fiduciary and humanistic mindset, demonstrated by experiences displaying a focus on helping others
SKILLS

JOB TITLE
Compliance Officer

LOCATION
Luxembourg

As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law . If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at GMCANINQ@wellington.com .
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