Compliance Analyst Compliance Analyst …

Wellington Management Company, LLP
in Boston, MA, United States
Permanent, Full time
Be the first to apply
Competitive
Wellington Management Company, LLP
in Boston, MA, United States
Permanent, Full time
Be the first to apply
Competitive
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 conduct testing under the Global Testing program, which seeks to assess compliance with and detect violations of policy, regulation and law in support of the firm's global compliance programs. The Compliance Analyst will be a member of the Legal and Compliance Group reporting directly to the Compliance Manager of the Global Testing program.

RESPONSIBILITIES

  • Conduct testing of the firm's compliance with policies, regulations or other requirements for areas identified by the firm's global testing plan

  • In executing compliance testing, lead the planning for, design of and execution of test procedures

  • Analyze test results, draw conclusions and communicate them to business representatives and other constituents

  • Conduct ad-hoc compliance reviews

  • Support initiatives to enhance global testing processes

  • Coordinate and collaborate with local testing resources in support of regional or entity level compliance programs

  • Participate in department or firm-wide project based initiatives


QUALIFICATIONS

  • Knowledge of asset management compliance program related rules and regulations applicable to a global investment management firm

  • 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

  • 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 

  • 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 GMCANINQ@wellington.com .
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