Senior 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

Position overview                             

The Senior Compliance Analyst will support Wellington Management’s global investment & trading compliance program, focusing primarily on compliance support to trading professionals in equity, fixed income and derivatives markets. The individual will also support elements of the compliance program related to material non-public information, market manipulation, conflicts of interest, and regulatory change.   As the firm expands the asset classes, products and geographical footprint of its businesses, as well as its technological capabilities, a key responsibility of the role will be supporting the firm’s compliance procedures and controls in new and evolving areas and implementing enhancements where necessary. 

The Senior Compliance Analyst will be a member of the Legal, Compliance and Risk Group, report directly to the Global Head of the Public Markets Compliance and work closely with other compliance, legal and risk professionals, as well as investment and trading personnel. 

Responsibilities

The Senior Compliance Analyst’s primary responsibilities will include the following

• Providing real-time compliance advice and support to trading personnel with respect to policies & procedures, controls, regulatory rules, MNPI, supervision, position limits, etc.
• Assessing conflicts and recommending mitigating controls within the investment, order implementation, and trading processes
• Driving the continued evolution of firm’s policies, procedures and other controls relating to investment, order implementation, and trading processes in response to various growth initiatives
• Collaborating with EMEA and APAC compliance colleagues and the broader Legal, Compliance and Risk Group to drive coordinated outcomes
• Developing and maintaining collaborative partnerships with our investors and traders, as well as their managers
• Providing regulatory risk management advice and support to projects and strategic initiatives
• Reviewing regulatory developments and assisting with the evaluation of their impact on our firm
• Advising forensic and compliance testing teams on areas of focus, testing design, special investigations and findings
• Responding to regulatory inquiries and examinations
• Developing and conducting regulatory training, where appropriate

Qualifications

• 5+ years of compliance or asset management experience (experience supporting and/or working with capital markets and/or trading processes is preferred)
• Familiarity with US regulatory landscape and rules applicable to the capital markets activities of US investment advisers
• Ability to self-start and think creatively 
• Strong business judgment and comfort working in a fast-paced environment
• Ability to apply analytical and decision-making skills in a collaborative and growth-oriented business
• Ability to synthesize, condense and convey complex information to key stakeholders in clear, digestible, and simple terms
• Strong interpersonal skills and ability to influence outcomes through collaboration
• Strong written and oral communication skills
• Highly organized and detail oriented with the ability to manage multiple initiatives simultaneously
• 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 is a plus

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 View email address on swooped.co __._

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 - 180,000

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.