Compliance Analyst (Regulatory Generalist) Compliance Analyst (Regulatory Generalist) …

Wellington Management Company, LLP
in London, United Kingdom
Permanent, Full time
Last application, 29 Nov 21
Wellington Management Company, LLP
in London, United Kingdom
Permanent, Full time
Last application, 29 Nov 21
Compliance Analyst (Regulatory Generalist)

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.


The core regulatory compliance team, which is part of our larger EMEA compliance team, has responsibility for managing the compliance programme for our UK FCA and SEC regulated affiliate, Wellington Management International Ltd (WMIL). As an analyst within this team, you will have responsibility for a portfolio of work supporting various areas of our FCA compliance programme and have the opportunity to support a number of key projects, both within the EMEA compliance team and in the business. The position will report to the Head of EMEA Core Compliance and will collaborate closely the broader Legal & Enterprise Risk teams globally.

We will consider individuals from a wide variety of backgrounds. The candidate is likely to come from a core compliance, compliance generalist, or Risk Management background from another asset management firm.

Key responsibilities of the role include:
  • Supporting the creation, implementation, and maintenance of the firm's FCA compliance policies and procedures, taking primary responsibility for our recordkeeping, CASS, Code of Ethics, Conflicts of Interest and Complaints policies, among others
  • Acting as a liaison with the Group companies in relation to Code of Ethics and PA dealing matters.
  • Administering the firm's SMCR programme and providing advice to staff on the requirements of the SMCR and Conduct Rules
  • Acting as a key user of the FCA's Connect and Gabriel systems, responsible for ensuring the timely, complete and accurate submission of regulatory returns including those in relation to staff captured by the Senior Manager and Certification Regime
  • Maintaining the core compliance regulatory registers, such as Conflicts of Interest, Complaints, and Breaches
  • Conducting risk assessments, gap analysis, monitoring and testing
  • Managing the EMEA compliance overall training programme; preparing for and providing training on core compliance areas
  • Participating in and advising on and implementing regulatory change as a result of new regulations
  • Supporting projects within L&ER and the business
  • Have a strong academic background, including an undergraduate degree.
  • Have 3 years of relevant compliance experience, ideally gained at another asset management firm. Experience of working with/supporting regulatory activities (specifically in relation to SUP, SYSC, FIT and COCON) is strongly preferred.
  • Demonstrate good compliance knowledge, particularly as it relates to the administration of regular regulatory statutory returns.
  • Demonstrate ability to develop strong relationships with key business stakeholders to ensure the timely and efficient implementation of core policies and the provision of information to regulators.
  • Have a good eye for detail and project management skills to ensure efficient and timely co-ordination of regulatory and project tasks.
  • Demonstrate strong ethics, good business judgment, and be able to work under pressure, both independently and as part of a team.
  • Strong communication, organisation and analytical skills.
  • Language skills would be a positive but is not a requirement

Compliance Analyst (Regulatory Generalist)


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 .
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