Compliance Analyst Compliance Analyst …

Wellington Management Company, LLP
in Boston, MA, United States
Permanent, Full time
Last application, 01 Apr 20
Competitive
Wellington Management Company, LLP
in Boston, MA, United States
Permanent, Full time
Last application, 01 Apr 20
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 support Wellington Management's core regulatory compliance program. The Compliance Analyst will be a member of the Legal and Compliance Group and will report to the Manager of Core Regulatory Compliance.
Responsibilities

The Compliance Analyst's principal responsibilities will include the following:

  • Supporting Wellington's compliance program core (firmwide) regulatory risk areas including those that pertain to ERISA, Investment Company Act of 1940, Custody, Record Retention, Fee Calculation, Proxy Voting and Whistleblower

  • Supporting the Wellington's regulatory inquiry and exam management including creating a regulatory response playbook, providing centralized support for exam responses globally, and working with key stakeholders on interview preparation, mock audits, and document production protocols, as appropriate

  • Supporting the firm's compliance policies and procedures governance

  • Participating in developing and conducting regulatory training

  • Coordinating enhancements to supervisory processes, internal controls and internal testing

  • Collaborating with EMEA and APAC compliance colleagues to drive coordinated outcomes

  • Participating in project management of key initiatives to support the compliance core program
Qualifications

  • 5+ years of legal and compliance experience working at an investment adviser

  • Bachelor's degree plus J.D. or professional designation (e.g. CFA) a plus

  • Excellent writing skills; experience drafting policies and legal documents a plus

  • Ability to synthesize, condense and convey complex regulatory and policy information to key stakeholders in clear and simple terms

  • Ability to apply analytical and decision-making skills in a collaborative and fast-paced environment

  • Strong presentation skills and comfort presenting in large groups

  • Ability to manage multiple initiatives simultaneously; proactive, self-motivated and well-organized

  • Familiarity with Investment Advisers Act and other rules and regulations applicable to Wellington Management


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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