Analyst 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

The Senior Compliance Analyst will support Wellington Management’s Global Private Investments Compliance program, focusing on information controls. As Wellington is expanding the asset classes, products and geographical footprint of its public and private investments businesses, a key responsibility of the role will be supporting the development and strengthening of critical controls related to the firm’s intake of non-public information. The successful candidate will hone a deep understanding of the firm’s wall cross process between the private and public investment platforms with a concentration on private credit, work collaboratively with various internal stakeholders on issue identification and escalations, and assist with the strategic implementation of IT solutions to streamline the compliance framework around conflicts and non-public information. This position is open to candidates in Boston, New York and Chicago. The Senior Compliance Analyst will be a member of the Private Investments Compliance team within the Legal, Compliance & Risk Group, working closely with other compliance professionals and attorneys.

Responsibilities

The Senior Compliance Analyst’s principal responsibilities will include the following:

• Enhance the firm’s information controls and monitoring relating to the intake, retention and dissemination of confidential information for both private and public companies; enhance the scope and integrity of controls monitoring the communication of “private-side” information to the firm’s “public-side” investment platform
• Assist with providing timely regulatory advice to investment, business and infrastructure teams, on information barrier requirements, regulatory obligations and related internal policies and procedures
• Drive the firm’s information barrier preclearance process and maintain oversight of restricted lists associated with the private investments business
• Design and enforce controls governing physical separation, secure storage, and access controls for sharing of data outside the private investments businesses, ensuring robust information governance and compliance with internal information barrier protocols
• Contribute to the evaluation of potential MNPI and implement appropriate controls in alignment with the firm’s policies and procedures to ensure regulatory compliance and information integrity
• Collaborate with EMEA and APAC Legal and Compliance colleagues to establish a coordinated approach to global information controls
• Synthesize and organize information, create team reference tools, procedures, desktop guidance, support the information barrier team coverage model, and assist with enhancing and maintaining team documentation practices
• Participate in developing and conducting regulatory training
• Support the firm’s compliance policies and procedures governance, including revising and drafting of applicable policies and procedures
• Support Wellington’s private investments compliance program regulatory risk areas including those that pertain to conflicts of interest, artificial intelligence (AI), MNPI, marketing, governance, and valuation
• Support regulatory inquiry and exam management, as appropriate

Qualifications

• 3 to 6 years of legal or compliance experience
• Bachelor’s degree plus professional designation (e.g. CFA) a plus
• Experience working at a large investment manager with diverse business lines or in a capacity designing and monitoring information controls is a plus
• Experience working at an investment adviser or some working knowledge of (i) Control Room or information barrier practices and/or (ii) the trading rules across multiple jurisdictions/regulatory regimes a plus
• Experience leveraging/utilizing technology and data and/or working closely with IT professionals to solve complex problems is a plus
• Ability to synthesize, condense and convey complex information to key stakeholders in clear, digestible, and simple terms
• Ability to influence outcomes through collaboration and effective challenge
• Ability to collaborate effectively across teams, fostering a cooperative work environment and contributing to shared goals with professionalism and accountability
• Strong written and oral communication skills
• Proficiency in various technology and AI tools to facilitate process, documentation, audit trail and reporting capabilities.
• Highly organized and detail oriented with the ability to manage multiple initiatives simultaneously; proactive, self-motivated
• Ability to self-start, think creatively and initiate projects that lead to improved scalable workflows
• Familiarity with U.S. Investment Advisers Act, U.S. Investment Company Act and other rules and regulations applicable to asset managers

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 [email protected] .

Benefits

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 65,000 - 150,000

This range takes into account the wide range of factors that are considered when making compensation decisions, including but not limited to skill sets; role; skills and experience; certifications; and education. This range is an estimate, and further details on salary and total compensation aspects will be shared with candidates during the recruitment process.

Base salary is only one component of Wellington’s total compensation approach. Other rewards may include a discretionary Corporate Bonus and/ or Incentives, if eligible. In addition, we offer a comprehensive and high value benefit package to meet the unique needs of our employees and their families, and we are committed to fostering a flexible work environment that enables employees to thrive personally and professionally. Examples of our benefits include retirement plan, health and wellbeing, dental, vision, and pharmacy coverage, health savings account, flexible spending accounts and commuter program, employee assistance program, life and disability insurance, adoption assistance, back-up childcare, tuition/CFA reimbursement and paid time off (leave of absence, paid holidays, volunteer, sick and vacation time)

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.