Senior or Lead Systems Analyst, Compliance

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

Senior or Lead Systems Analyst, Compliance


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.


This individual will be responsible for systems analysis in support of the Legal and Compliance business group - bringing experience and best practices to a fast-moving, complex, and tightly integrated area of the company.

  • The focus of the analyst will be to define, deliver and help support solutions for the Legal & Regulatory Compliance program.  These solutions may be vendor supplied, requiring integration, or custom, in-house developed solutions. 
  • The Legal and Compliance Technology team is responsible for providing solutions that meet our regulatory and compliance testing obligations.  Wellington complies with regulations globally, meeting obligations in each country and jurisdiction as required.  The modern regulatory environment continues to evolve and the pace of complexity continues to grow.  In this constantly changing environment the technology team provides solutions that ensure Wellington remains compliant and is able to respond quickly and accurately to regulator's requirements.
  • This role provides leadership to the technology team supporting Legal and Compliance.  Current state applications include packaged vendor solutions for Regulatory Reporting, Code of Ethics compliance, and AML Screening, as well as highly customized in-house designed and developed applications solutions for compliance driven forensic testing and social networking analysis. 
  • Members of the team play critical roles in our firm's success by providing technology solutions which improve quality, speed, and efficiency in a highly complex industry with a sophisticated regulatory, client, and investor base.
  • The successful candidate must demonstrate leadership experience in supporting business professionals in the investment services industry and specifically in Legal and Compliance functions.  The candidate should also demonstrate a successful project management and delivery track record, working with cross-functional teams consisting of both internal and external resources.
  • Candidates with experience with GRC (Governance, Compliance, and Risk) systems, Form and Beneficial Ownership Regulatory Reporting, AML (Anti-Money Laundering), investment surveillance, marketing compliance, and/or compliance testing will be considered.  Experience with ServiceNow is a plus.

Keys to this position
  • Domain:  Some of the following in this order: GRC (Governance, Compliance, and Risk) systems, Regulatory Reporting, AML (Anti-Money Laundering), Investment Surveillance, Marketing Compliance, and/or Compliance Testing, ServiceNow.  If the candidate is very strong with Service Now and has Asset Management experience we will teach the other domain areas. 
  • Strong Systems Analyst skills (gathering requirements, writing functional specs, etc.):  This is an individual contributor role.  If the candidate has experience managing a team and is very hands-on, there could be an opportunity to manage a small group. 
  • Sources:  Preferably another asset management firm, financial services, biotech, pharma.  We prefer financial services but compliance is similar at biotech/pharma firms and would be applicable. 

Responsibilities include:
  • Developing and articulating systems requirements for the Compliance program
  • Partnering with business practitioners to define process workflow solutions
  • Identifying robust and creative solutions to improve key business processes and solve business challenges
  • Structuring, researching, and assisting vendor solution assessments
  • Managing projects from initiation through execution, delivery, and production support
  • Developing key knowledge of specific business, system, and data workflows; solutions will need to integrate and source data from internal systems
  • Developing and maintaining relationships with key business partners across the firm
  • Staying current with evolving industry trends and the regulatory environment to ensure that delivered systems utilize industry best practices.
  • Identifying and implementing process improvements in to advance both speed to market and quality of the end product 

Minimum Requirements
  • Master's degree in Computer Science, Business, Economics, Finance or related subject plus two years' business analysis or systems analysis experience in trading, investment management or financial services environment.    Will also accept Bachelor's in one of the fields above, plus five years' experience. 

Previous experience must include:
  •  Experience with Regulatory and Compliance functions and systems in the context of a buy side investment management firm.
  • Experience with transaction trade flow, holdings analysis, document management, and advanced data analysis including unstructured data analysis is a big plus. 
  • Ability to understand complex business requirements and develop prioritized solution features to meet the requirements.
  • Demonstrated track record throughout the systems lifecycle, with proven expertise in the analysis, delivery, and, support of major applications.
  • Strong all-around project management and project methodology skills.
  • Experience and success operating in an Agile development environment.  Understanding of the Agile development methodology and iterative development.
  • Excellent written and verbal communication skills.
  • Highly self-motivated and able to work in a fast-paced, team-oriented environment, taking initiative as necessary.
  • Demonstrate strong client focus and relationship management skills.
  • Hands-on practical knowledge of SQL and relational database technology.  Ability to understand database schemas and design and execute advanced ad-hoc queries.
  • Strong analytical and hands-on problem solving skills with an attention to detail.
  • Experience with natural language processing, machine learning, and social networking analysis a plus

Senior or Lead Systems Analyst, Compliance

Systems Analysis

100 Federal Street

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 .