Compliance Analyst

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Wellington Management Company, LLP
  • 17 Jan 18 2018-01-17

Compliance Analyst


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 50 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.


The Company

Tracing our roots to 1928, Wellington Management Company, LLP is one of the world's largest independent investment management firms. With US$1,021 billion in assets under management as of 30 June 2017, we serve as a trusted adviser to institutional clients and mutual fund sponsors in over 50 countries. Our innovative investment solutions are built on the strength of proprietary, independent research and span nearly all segments of the global capital markets, including equity, fixed income, multi-asset, and alternative strategies. As a private partnership whose sole business is investment management, our long-term views and interests are aligned with those of our clients. We are committed to attracting a talented and diverse workforce, and to fostering an open, collaborative culture of inclusivity, because we believe multiple perspectives lead to more informed investment and business decisions. As an Equal Opportunity Employer, we welcome people with diverse life experiences, fresh ideas, and specialised subject-matter expertise.

The Position

We are currently seeking a Compliance professional to support the Wellington Management Funds-Global (WMF- Global) business, with a focus on the compliance programme of the Wellington Luxembourg S.AR.L. Based either in Luxembourg or London, the primary focus of the role will be to assist the WMF-Global Compliance Officer in developing the local risk based compliance monitoring programme. The role includes providing oversight of the UCITS investment restrictions for our Luxembourg and Dublin funds and advice to the business on UCITS eligibility questions. The position will also cross cover with other positions within the group. The Analyst will report to the WMF-Global Compliance Officer and will work closely with the broader Legal & Compliance team, particularly in relation to the compliance monitoring programme.


Primary responsibilities will include:

  • Assist the WMF-Global Compliance Officer in identifying rules in force relevant to WMF Global and undertake regulatory risk assessment.
  • Undertake monitoring; prepare and issue reports of the testing and results and escalate as necessary, including to the relevant boards and committees; and assist in the design and implementation of future reviews.
  • Assist with the provision of advice and training to the WMF-Global business.
  • Review & maintenance of compliance policies, practices, structures & procedures.
  • UCITS eligibility and compliance.
  • Maintain WMF-Global regulatory related registers, e.g. Breach, conflicts, PAD.
  • Provide general support to the WMF-Global Compliance Officer.


The successful candidate is likely to:

* Have a strong academic background, including an undergraduate degree.

* Have relevant compliance experience, ideally gained at another Asset Management firm.

* Experience of working with/supporting fund activities is strongly preferred;

* Demonstrate strong compliance knowledge.

* Demonstrate a strong working knowledge of, and interest in, financial markets;

* Have good business judgment, and be able to work under pressure, both independently and as part of a team.

Compliance Analyst



As an equal opportunity employer, Wellington Management considers all qualified applicants will receive 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 .