Senior Regulatory Compliance Analyst
Senior Regulatory Compliance Analyst
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Job Description
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 longterm view that aligns our perspectives with those of our clients.
About the Role
The Senior Regulatory Compliance Analyst will support Wellington Managements compliance program focusing primarily on the rules and regulations governing US registered investment companies and other elements of Wellingtons Americas funds line up. Wellington Management is expanding the range of its activities with respect to US registered investment companies and a key responsibility of this role will be assessing the firms compliance infrastructure against these growth initiatives and implementing enhancements where necessary.
The Compliance Senior Analyst will be a member of the Legal Compliance and Risk Group and will report to the Chief Compliance Officer Americas/Global Head of Funds Compliance and work closely with other compliance and risk professionals and attorneys.
RESPONSIBILITIES
The Compliance Senior Analysts primary responsibilities will include the following:
Driving the continued development and future maintenance and improvements of Wellingtons Investment Company Act compliance program and ongoing support of Wellingtons growing funds business
Providing regulatory risk management advice and support including policies & procedures controls and policy exceptions regulatory rules supervision etc.
Reviewing Investment Companyrelated and other regulatory rule proposals amendments and regulatory developments and driving the evaluation of their impact on Wellingtons funds business practices
Recommending enhancements to supervisory processes internal controls and internal testing
Responding to regulatory inquiries and examinations
Developing and conducting regulatory training where appropriate
Collaborating with EMEA and APAC compliance colleagues and the broader Legal Compliance and Risk Group to drive coordinated outcomes
QUALIFICATIONS
5 years of relevant investment adviser and investment company compliance experience (interval fund and ETF compliance experience highly preferred)
Familiarity with the Investment Advisers Act and other rules and regulations applicable to Wellington Management
Ability to selfstart and think creatively
Strong business judgment and 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 welldeveloped advice
Ability to apply analytical and decisionmaking skills in a collaborative and fastpaced growthoriented environment
Prior success identifying developing/planning and implementing projects that mitigate risk and lead to improved and scalable workflows
Experience using data analysis tools and/or other technology solutions to strengthen internal controls a plus
JOB TITLE
Senior Regulatory Compliance AnalystJOB FAMILY
ComplianceLOCATION
280 CongressNot sure you meet 100 of our qualifications Thats 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 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 .
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:
USDThis 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 salaryis only one component of Wellingtons 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 backup childcare tuition/CFA reimbursement and paid time off (leave of absencepaid holidays volunteer sick and vacation time).
Required Experience:
Senior IC
Employment Type
Full-Time
