Compliance Analyst

  • Competitive
  • Boston, MA, USA
  • Permanent, Full time
  • Wellington Management Company, LLP
  • 11 Dec 18

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 Compliance Analyst will support Wellington Management's Compliance program with respect to global trading. The Compliance Analyst will be a member of the Legal and Compliance Group working under the direction of the Manager of Capital Markets Compliance and other compliance professionals and attorneys.


The Compliance Analyst's responsibilities will include the following:

  • Providing real-time risk management advice and support to trading personnel with respect to policies & procedures, controls, policy exceptions, regulatory rules, MNPI, supervision, position limits, etc.
  • Working with relevant management teams to ensure robust supervisory processes and controls
  • Developing and conducting regulatory training
  • Assist in drafting policies and procedures for key risk and compliance processes
  • Reviewing capital markets related regulatory rule proposals, amendments and regulatory developments and assisting with the evaluation of a rule's impact on business practices
  • Help respond to regulatory inquiries or examinations, as needed
  • Advise forensic and compliance testing teams on areas of focus, special investigations and findings
  • Working with other members of the Legal and Compliance Group on compliance initiatives
  • Performing special projects and other duties as assigned

  • 5+ years of compliance experience, including a strong preference for experience working at a regulator or supporting buy or sell side trading desks
  • Familiarity with Investment Advisers Act and other rules and regulations applicable to the capital markets activities of U.S. investment advisers
  • Ability to apply analytical and decision-making skills in a collaborative and fast-paced environment
  • Strong understanding of and experience with data analysis tools
  • Ability to synthesize, condense and convey complex regulatory and policy information to key stakeholders in clear, digestible and simple terms
  • Ability to influence outcomes through collaboration and well defined advice
  • Good business judgment
  • Excellent written and oral communication skills as well as presentation skills
  • Experience working with reporting and process packages (Tableau, Visio, etc.) is a plus
  • Creativity and ability to work under pressure
  • Proactive, self-motivated and well-organized

Compliance Analyst


280 Congress

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 .