Sr 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.

About the Role

SUMMARY

The Compliance Officer role will support Wellington’s European fund management business, which develops and oversees a variety of commingled funds domiciled primarily in Luxembourg and Ireland and distributed globally.

The candidate will need to be approved by the CSSF for the role and must have the necessary experience working in the Luxembourg fund industry.

The position will be based in Luxembourg and will report to the Conducting Officer in charge of Compliance & AML/CTF of the Wellington Luxembourg Investment Fund Manager and work alongside other legal and compliance professionals to provide support to the European fund business. 

RESPONSIBILITIES

• Managing the IFM’s compliance plan and policies
• Executing the IFM compliance monitoring plan; maintaining and updating the compliance monitoring tool; undertaking testing and monitoring; disseminate results as necessary
• Undertaking compliance risk assessments
• Executing of the compliance training program for the European fund business
• Preparing comprehensive reports to the IFM Executive Committee and various boards
• Preparing and being responsible for periodic CSSF reporting
• Maintaining complaints related records
• Maintaining and reviewing compliance breaches
• Managing the IFM’s SFDR oversight program
• Providing advice on the regulatory implications of actual and new regulations and changes to the business
• Participating in a variety of department or firm-wide project-based initiatives and working groups as and when needed
• Supporting the IFM RC with AML/CFT related controls and reporting
• Supporting the IFM RC with AML/CFT related tasks, including ongoing monitoring and periodic/ad hoc reporting

QUALIFICATIONS

• 3 - 5 years of relevant financial services experience, including supporting EU regulated investment funds, such as UCITS and AIFs. 

• A good working knowledge of Luxembourg regulatory requirements (knowledge of Irish fund regulations would be an advantage).
• Effective interpersonal and communication skills and strong written and verbal skills
• Highly motivated with a strong work ethic and a desire to learn
• Strong fit with the firm’s cultural tenets of inclusivity, collaboration, accountability, and collegiality
• Experience in private equity funds (advantage)
• Fluent written and spoken English required (additional European languages would be an advantage).

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.

We believe that in person interactions inspire and energize our community and are essential to our culture. In support of this commitment, our employees work from our offices 4 days a week with flexibility to work remotely 1 day a week. We believe that this approach ultimately supports our mission to deliver investment excellence to our clients and their beneficiaries over the long term.