Core Regulatory Compliance Manager

  • Competitive
  • Boston, MA, USA
  • Permanent, Full time
  • Wellington Management Company, LLP
  • 23 Mar 19

Core Regulatory Compliance Manager


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 50 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.


The Compliance Officer will lead Wellington Management's core compliance program. The Compliance Officer will be a member of the Legal and Compliance Group and will report to the Manager of Investment Adviser Compliance.


The Compliance Officer's principal responsibilities will include the following:

  • Designing and overseeing Wellington's compliance program for core (firmwide) regulatory risk areas, including ERISA, Investment Company Act of 1940, Custody and Whistleblower Rules and records retention
  • Administering the Wellington Management regulatory risk assessment; Coordinating risk assessment process with relevant subject matter experts, Legal Department, business and operational risk professionals
  • Providing risk management advice with respect to policies & procedures, controls, policy exceptions, regulatory rules, supervision, etc.
  • Drafting policies and procedures for key risk and compliance processes
  • Developing and conducting regulatory training, where appropriate
  • Recommending enhancements to supervisory processes, internal controls and internal testing
  • Responding to regulatory inquiries or examinations, as appropriate
  • Collaborating with EMEA and APAC compliance colleagues and Operational Risk professionals to drive coordinated outcomes
  • Lead key Legal and Compliance Group initiatives, including the development of a governance, risk management and compliance framework

  • 10+ years of compliance or relevant investment adviser experience.  Bachelor's degree plus J.D. or professional designation (e.g. CFA) a plus
  • Deep familiarity with Investment Advisers Act and other rules and regulations applicable to Wellington Management
  • Prior success developing and implementing technology solutions to strengthen internal controls
  • Exceptionally strong business judgment
  • Global mindset
  • Excellent written and oral communication skills.  Strong presentation skills and comfort presenting in large groups with senior business management
  • Ability to synthesize, condense and convey complex regulatory and policy information to key stakeholders in clear and simple terms
  • Ability to influence outcomes through collaboration and well defined advice
  • Ability to apply analytical and decision-making skills in a collaborative and fast-paced environment
  • Strong understanding of and experience with data analysis tools
  • Creativity and ability to work under pressure
  • Proactive, self-motivated and well-organized

Core Regulatory Compliance Manager


280 Congress

As an equal opportunity employer, Wellington Management considers all qualified applicants will receive 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 .