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 Managements 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 firms intake of non-public information. The successful candidate will hone a deep understanding of the firms 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 Analysts principal responsibilities will include the following:

• Enhance the firms 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 firms 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 firms 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 firms 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 firms compliance policies and procedures governance including revising and drafting of applicable policies and procedures

• Support Wellingtons 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

• 6 years experience in the legal or compliance space

• Bachelors 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

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Not 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 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: