Compliance Analyst

  • Competitive
  • Boston, MA, USA
  • Permanent, Full time
  • Wellington Management Company, LLP
  • 15 Jan 19

Compliance Analyst

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 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.

POSITION

The Compliance Analyst will support the Forensics program which seeks to proactively detect regulatory/legal violations, firm policy breaches, and other inappropriate behavior through security screening, trade analysis, and e-discovery. The Compliance Analyst will be a member of the Legal and Compliance Group working under the direction of the Compliance Manager and with other compliance analysts and attorneys.

Responsibilities

The Compliance Analyst's responsibilities will include the following:


  • Conduct testing and surveillance of firm activity using forensic testing methodologies, such as data analytics and patterned-based testing

  • Analyze testing results to confirm consistency with the firm's compliance policies, procedures and controls and to identify activity falling outside of those controls

  • Monitor electronic communications for potential suspicious activity and escalate results accordingly

  • Coordinate reporting and escalation of items arising from testing and eCommunications surveillance

  • Support enhancements to testing and surveillance tools and applications by coordinating with Information Technology

  • Support initiatives to enhance current forensic testing and surveillance and identify additional testing to address the firm's regulatory and compliance risks

  • Participate in department or firm-wide project based initiatives


Qualifications

The successful candidate will possess the following qualifications:

  • College undergraduate degree with 10 or more years of compliance-related experience

  • Significant experience with regulatory forensic testing and surveillance techniques,  with a specific focus on the asset management industry preferred

  • Deep Knowledge of asset management compliance program related rules and regulations

  • Strong working knowledge and interest in financial markets, key asset classes, security and relevant investment adviser regulations

  • Inquisitive mindset - appropriate level of skepticism and curiosity

  • Strong analytical and problem solving skills

  • Highly comfortable with data

  • Highly-organized and detail-oriented; demonstrated planning and organizational skills

  • Ability to manage multiple initiatives simultaneously

  • Strong written and oral communication/presentation skills 

  • Knowledge/familiarity with compliance-related technologies

  • Capable of instilling confidence with senior management and legal team

  • Global outlook


JOB TITLE
Compliance Analyst

JOB FAMILY
Compliance

LOCATION
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 Wellington@icareerhelp.com .