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
This is a distinct and exciting opportunity to join a recently formed Enterprise Risk business line dedicated to Wellington's expanding compliance and controls testing practice. The business is planning for a new Center of Excellence that seeks to expand the firm's programs relating to the testing, surveillance and monitoring of current and emerging regulatory compliance risks that arise in the ordinary course of our business. Team members will have the unique opportunity to participate in the design and execution of the strategic vision for the Global Forensics and Regulatory Testing Program. Working as a small, strategic team, this role offers the opportunity for high touch interaction across business lines and engagement with senior stakeholders.
The Testing & Analytics Officers responsibilities include, but are not limited to:
- Participate in the design and execution of the strategic vision and growth of the Global Forensics and Regulatory Testing Program
- Identify and design enhanced regulatory and forensics testing to address the firms risk specific to Market Manipulation, Sustainable Investing, Private Investments, emerging global regulations etc.
- Manage the design, implementation and maintenance of the testing and surveillance tools partnering with key stakeholders from Compliance, Information Technology and vendor contacts
- Assist with the development and maintenance of a risk based multi-year Global Regulatory Testing Plan through collaborative engagement with senior Compliance leaders
- Lead and conduct testing and surveillance of firm activity using various testing methodologies, such as data analytics, patterned-based testing, output and control testing to assess the firm's compliance and detect violations of policy, regulation and law
- Monitor for potential suspicious activity and agree and report results and agreed actions to senior leaders in the 1st and 2nd Lines
- Continued partnership with senior 1st and 2nd line stakeholders to gain an understanding of the controls, emerging risk for the areas under review to optimize the value of testing
- Manage and develop Testing & Analytics analyst
The successful candidate will possess the following qualifications:
SKILLS JOB TITLE
- College undergraduate degree with a minimum of 10 years of testing related experience preferably in the asset management industry
- Experience with various testing and surveillance methodologies
- Experience with system build inclusive of design, vendor oversight and user acceptance testing
- Knowledge of asset management compliance program related rules and regulations
- Knowledge of trading, securities markets, and investment products
- Inquisitive mindset - appropriate level of skepticism and curiosity
- Strong analytical and problem-solving skills
- Highly organized and detail-oriented; demonstrated planning and organizational skills
- Conversant with data querying, extraction, validation and analytic techniques using tools such as SQL, MS Excel Analytics preferred
- Working knowledge in data analytic tools, creating analytic workflows, building risk detection models preferred ( e.g., Tableau. Actimize, Alteryx, etc..) preferred
- Ability to manage multiple initiatives simultaneously
- Strong written and oral communication/presentation skills
- Knowledge/familiarity with compliance-related technologies
- Capable of instilling confidence with senior leaders 1st and 2nd line; ability to influence without direct authority
Compliance Officer 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 .