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 60 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.
We are transitioning to a hybrid work environment where both remote work and the office play a critical role. Our vision is a future where all employees are empowered to work flexibly to drive the best outcomes for our clients. Flexible work is a mindset and a core value. Our employees are encouraged to work remotely two days a week as a standard practice and will have flexibility in terms of working hours. POSITION
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 55 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.
We are seeking a compliance professional with good foundational compliance experience in the financial services industry to join the Americas Compliance team. The Compliance Analyst will also be a member of our global Private Investment Compliance team and will provide compliance advisory and conduct compliance testing related to our private investment business in the Americas region.
The role will report to the Americas Private Investments Compliance Officer.
The Compliance Analyst's core responsibilities will include the following:
- Taking guidance and direction from the Compliance Officer leading the global Private Investment Compliance team
- Tailoring or supplementing global policies and procedures for the private investment business in the Americas region to reflect applicable local rules and regulations
- Following global guidance and policies and procedures, offer compliance advice and support to the private investment team in the Americas region
- Following the global private investment information control program, conduct compliance monitoring and testing of the information controls, electronic communication surveillance and chaperoning
- Developing and conducting compliance training for the private investment team
- Keeping the compliance officers within the region of private investment activities, compliance findings and issues to support their overall compliance oversight responsibilities
SKILLS JOB TITLE
- Around 5 years of compliance experience working with international financial institutions, with substantial experience in private investments
- Highest personal and professional integrity and ethics
- Flexibility and openness to continue learning, evolving and growing
- Self-motivated, enthusiastic, and strong interest in investments
- Aptitude for technology and data analysis
- Persistent and inquisitive
- Strong analytical, problem-solving and organisation skills
- Creativity and ability to work under pressure independently as well as in a team environment
- Strong written and oral communication and interpersonal skills
Compliance Analyst LOCATION
As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal 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 .