Senior Compliance Analyst, Americas Core Compliance

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.

About the Role

POSITION

The Compliance Senior Analyst will support Wellington Management’s Americas compliance program, focusing primarily on the rules and regulations governing investment advisers established/operating/registered in the Americas.  Key responsibilities of this role include assessing the firm’s compliance programs and implementing enhancements (e.g., to policies, procedures, practices) where necessary, exam management and engagement with business stakeholders on regulatory issues and business change.

The Compliance Senior Analyst will be a member of the Americas Core Compliance team within the Legal, Compliance and Risk Group.

Responsibilities                      

• Lead key Compliance initiatives, including oversight of the Global Compliance Training Plan, Global Regulatory Risk Assessment, NFA compliance programs, RFP/RFI responses etc.
• Review of regulatory rule proposals, amendments, and developments to assist with the evaluation of rules impacting the firm’s business practices
• Provide regulatory risk management advice and support to the business (e.g., with respect to policies & procedures, controls, policy exceptions)
• Assist with policies and procedures revisions for key risk and compliance areas
• Participate in managing and responding to regulatory inquiries and examinations
• Recommend enhancements to supervisory processes, internal controls and testing
• Collaborate with EMEA and APAC compliance colleagues and the broader Legal, Compliance and Risk Group to drive coordinated outcomes

 Qualifications                  

• 3+ years of relevant investment adviser compliance experience
• Familiarity with Investment Advisers Act, ERISA regulations and other rules and regulations applicable to Wellington Management.  
• Familiarity with NFA/CFTC regulations and OSC regulation of investment advisers
• Global mindset and strong business judgement
• Strong written and oral communication skills.  Strong presentation skills and comfort interacting with all levels of management
• Ability to synthesize, condense and convey regulatory and policy information to key stakeholders in clear and simple terms
• Creativity and ability to work under pressure
• Proactive, self-motivated and well-organized
• Experience developing and implementing technology solutions to strengthen internal processes and controls a plus
• Comfortable using technology tools to manage workflows and enhance task efficiency in a fast-paced environment
• Ability to effectively prioritize tasks, consistently execute and meet strict deadlines

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 GMWTalentOperations@wellington.com.

At Wellington Management, our approach to compensation is designed to help us attract, inspire and retain the best talent in our industry. We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary, variable compensation, and benefits. The base salary range for this position is:

USD 80,000 - 150,000