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 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 committed to attracting a talented and diverse workforce, and to fostering an open, collaborative culture of inclusivity because we believe multiple perspectives lead to more informed investment and business decisions. As an Equal Opportunity Employer, we welcome people with diverse life experiences, fresh ideas, and specialized subject-matter expertise.

The Compliance Analyst will support Wellington Management's private investments compliance program. The Compliance Analyst will be a member of the Legal and Enterprise Risk Group and will report to a Private Investments Compliance Officer, working closely with other compliance professionals and business colleagues.

Responsibilities

The Compliance Analyst's principal responsibilities will include the following:
  • Supporting Wellington's private investments compliance program (firmwide) regulatory risk areas including those that pertain to Record Retention, Investment Allocation, Expense Allocation, Marketing, Fund Governance, Conflicts of Interest, MNPI, Valuation, and ESG
  • Support the firm's compliance policies and procedures governance, including revising and drafting of applicable policies and procedures
  • Participate in developing and conducting regulatory training
  • Coordinate enhancements to supervisory processes, internal controls and internal testing
  • Collaborate with EMEA and APAC compliance colleagues to drive coordinated outcomes
  • Contribute to the evolving design and execution of team processes, workflows and compliance management tools
  • Participate in project management of key initiatives to support the private investments compliance program
  • Synthesize and organize information, create team reference tools, and assist with enhancing and maintaining team recordkeeping practices
  • Support regulatory inquiry and exam management in relation to Wellington's private investments business, as appropriate
Qualifications
  • 2+ years of experience working at an investment adviser to private funds (private equity, private credit or private real estate investment adviser a plus)
  • Bachelor's degree plus professional designation (e.g. CFA) a plus
  • Excellent writing skills
  • Excellent interpersonal skills and an ability to work both independently and as a member of a team
  • Ability to self-start, think creatively and initiate projects that lead to improved scalable workflows
  • Highly organized and detail oriented with the ability to manage multiple initiatives simultaneously; proactive, self-motivated
SKILLS

JOB TITLE
Compliance Analyst

LOCATION
Boston

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 .
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