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
The Compliance Analyst role will be part of the Americas Compliance Client Platform Team. The role will support the US & Alts Fund Management team, which oversees two families of private funds and a limited purpose national trust bank. The Compliance Analyst will work alongside other compliance professionals and attorneys to provide support across the various fund sponsor teams.
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 and 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 the US & Alts Fund group
- Assist in the on-going development and implementation of business and compliance policies, procedures and practices across the US & Alts Fund group
- Partner with the US & Alts Fund team and L&ER colleagues to develop and deliver online and in-person training
- Help conduct risk assessments on behalf of the US fund sponsors as required by applicable regulators
- Provide guidance and partner with the US & Alts Fund to maintain the overall compliance programs for: OCC, CFTC/NFA
- Assist with the fund sponsors' Anti Money Laundering programs
- 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 Compliance function
- Participate in a variety of department or firm-wide initiatives and working groups
The successful candidate will possess the following qualifications:
SKILLS JOB TITLE
- 5+ years of compliance or legal experience working with regulated or unregulated investment funds, SEC registered investment advisers, and/or 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
- Global mindset and ability to support cross-border fund platforms
- Basic knowledge of anti-money laundering rules and regulations preferable
- Familiarity with bank sponsored 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 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 .