For Recruiters

Compliance Analyst

Wellington Management Company, LLP
Boston, United States
Posted 7 days ago Permanent Competitive
Compliance Analyst
About Us

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.

About the Role

The Compliance Analyst will be a member of the Code of Ethics team, which is part of Wellington Management's Legal & Enterprise Risk group. The Firm's Code of Ethics Policy is the policy statement which relates to ethical conduct, and addresses certain areas of conflict of interest, including personal investing, receipt of gifts and entertainment, and outside activities. The Code of Ethics team is also responsible for monitoring compliance with the firm's Policy and Procedures Regarding Political Contributions.

RESPONSIBILITIES
  • Supporting process, system and data dependent elements of the Code of Ethics program
  • Collaborating with EMEA and APAC compliance colleagues, Operational Risk, and Internal Audit to drive coordinated outcomes in the above areas
  • Support other key Legal and Compliance Group initiatives
  • Developing and conducting regulatory training to the business in the areas described above
  • Responding to regulatory inquiries or examinations in these areas, as appropriate
  • Serving as a point of escalation for our Accenture offshore colleagues
QUALIFICATIONS
  • Undergraduate degree, preferably in finance, business or other relevant field; MBA, Masters, or a professional designation ( e.g., CFA) is a plus
  • Minimum 3-5 years of experience with compliance, operational or business controls for an investment advisor
  • Excellent organizational skills with the ability to prioritize, exercise strong business judgment and work under pressure
  • Ability to influence outcomes through collaboration and well-defined advice to the business
  • Strong analytical problem solving skills
  • Global mindset
  • Ability to synthesize, condense and convey regulatory and policy information to key stakeholders in clear and simple terms
Not sure you meet 100% of our qualifications? That's ok. If you believe that you could excel in this role, we encourage you to apply and welcome a chance to review your background. We are dedicated to building and maintaining a diversified workforce and considering a broad array of candidates with a variety of skill, workplace experiences, and backgrounds.

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 .
Job ID  R87578
More jobs From Wellington Management Company, LLP
Wellington Management Company, LLP
Compliance Testing Analyst
Wellington Management Company, LLP
Boston, USA
about 1 month ago Full time Competitive
Wellington Management Company, LLP
Compliance Analyst
Wellington Management Company, LLP
Hong Kong
about 1 month ago Full time Competitive
Wellington Management Company, LLP
Client Analyst
Wellington Management Company, LLP
Boston, USA
30 days ago Full time Competitive
Wellington Management Company, LLP
Senior Private Equity Fund Controller
Wellington Management Company, LLP
Boston, USA
about 1 month ago Full time Competitive
Wellington Management Company, LLP
Fund Treasury & Custody Analyst
Wellington Management Company, LLP
Boston, USA
about 1 month ago Full time Competitive
Wellington Management Company, LLP
Fund Governance & Oversight Analyst
Wellington Management Company, LLP
Boston, USA
about 1 month ago Full time Competitive
Wellington Management Company, LLP
Investment Research Analyst
Wellington Management Company, LLP
Boston, USA
about 1 month ago Full time Competitive
Wellington Management Company, LLP
Counsel, Private Investment (Funds)
Wellington Management Company, LLP
Boston, USA
about 1 month ago Full time Competitive
Wellington Management Company, LLP
Compliance Testing Officer
Wellington Management Company, LLP
Boston, USA
about 1 month ago Full time Competitive
Wellington Management Company, LLP
Client Analyst
Wellington Management Company, LLP
Boston, USA
about 1 month ago Full time Competitive
More Jobs Like This
Wellington Management Company, LLP
Compliance Testing Analyst
Wellington Management Company, LLP
Boston, USA
Wellington Management Company, LLP
Compliance Analyst
Wellington Management Company, LLP
Hong Kong
Wellington Management Company, LLP
Client Analyst
Wellington Management Company, LLP
Boston, USA
Wellington Management Company, LLP
Senior Private Equity Fund Controller
Wellington Management Company, LLP
Boston, USA