Compliance Analyst

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

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 role will support Wellington Funds Group ("WFG"), which develops and oversees a variety of commingled pools and funds offered to clients of Wellington Management.  The Compliance Analyst will work alongside other compliance professionals and attorneys to provide support across the various fund sponsor teams within WFG. 

Important success factors for the Compliance Analyst include an understanding of Wellington's fund clients, the roles of a fund sponsor, and a fiduciary mindset; sound business judgment; knowing when to act independently and when to seek a broader audience; identifying key stakeholders; a keen eye for detail; project management skills. The Compliance Analyst will liaise with all levels of management, not only within the WFG front and middle-office operations, but also with other functional groups within Wellington Management, including Internal Audit, Information Technology, Client Services, and Relationship Management.

The Compliance Analyst's responsibilities will include the following:

  • Provide day-to-day regulatory compliance support for the fund sponsor teams within WFG

  • Assist in the development and coordination of the documentation of business policies, procedures and practices across WFG fund sponsors

  • Continuously work with fund sponsors to problem solve, develop and implement policies and procedures

  • Partner with fund sponsor teams and L&C colleagues to develop and help coordinate online and in-person training

  • Coordinate and help conduct risk assessments on behalf of WFG fund sponsors as required by applicable regulators

  • Identify and assess regulatory risks and develop processes to monitor for these risks

  • Assist in exam management and preparation across WFG, including: Office of the Comptroller of the Currency (OCC), U.S. Commodity Futures Trading Commission (CFTC), National Futures Association (NFA) and U.S. Securities and Exchange Commission (SEC)

  • Provide guidance and partner with fund sponsors to maintain the overall compliance programs for: OCC, CFTC/NFA and SEC

  • Oversee NFA firm level, associated person and principal registration processes

  • Conduct electronic communication reviews as part of CFTC/NFA compliance program

  • Monitor regulatory changes with respect to our various fund sponsor compliance programs

  • Regularly respond to internal and external inquiries relating to fund sponsor compliance programs

  • Support ongoing development of automated systems and surveillances within the WFG Compliance function

  • Review fund marketing materials

  • Participate in a variety of department or firm-wide project based initiatives and working groups

This Boston-based position will work alongside, and report directly to, WFG's Chief Compliance Officer.                                                                                                                                     

The successful candidate will possess the following qualifications:   

  • 4+ years of compliance or legal experience working  with regulated or unregulated investment funds, SEC registered investment advisers, and CFTC registered Commodity Pool Operators

  • Good knowledge of the Investment Advisers Act, Commodities Exchange Act and related rules and regulations

  • Experience drafting compliance policies and procedures, conducting compliance risk assessments and managing SEC and/or CFTC compliance programs

  • Experience with fund distribution, including advising on jurisdictional "rules of the road" and reviewing fund marketing materials

  • Global mindset and ability to support cross-border fund platforms

  • Basic knowledge of anti-money laundering  rules and regulations preferable

  • Familiarity with bank sponsors collective investment funds a plus

  • Highly organized, with a demonstrated proficiency to manage, prioritize and complete multiple projects simultaneously

  • Ability to partner effectively with others, to develop relationships across geographies and across the organization, and to motivate others to action amongst competing priorities

  • Willingness to take initiative, but to know when to seek input from others before acting

  • Effective interpersonal and communication skills and strong written and verbal skills

  • Strong attention to detail; good business judgment and strong analytical and problem solving skills

  • Strong fit with the firm's cultural tenets of inclusivity, collaboration, accountability, and collegiality

  • Proficient understanding of financial markets, asset classes, security attributes, and fund operations

Compliance Analyst


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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 .