Compliance Officer

Wellington Management in Legal Email Job
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Job Description

    • WELLINGTON MANAGEMENT

      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 55 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.

       

      POSITION

      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 55 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.  Wellington manages approximately $1.0 trillion in public investments.

                              

      The Compliance Officer will be responsible for leading Wellington Management’s compliance program associated with Wellington’s public-side investments business.  The Compliance Officer will be a member of the Legal & Enterprise Risk group reporting to Wellington Management’s Americas Chief Compliance Officer and will work closely with other compliance professionals and attorneys across the global organization.

      Responsibilities:

      The Compliance Officer’s responsibilities will include the following:

      • Providing advice and support to portfolio management teams with respect to policies & procedures, controls, policy exceptions, regulatory rules, MNPI, supervision, etc.

      • Assessing conflicts and recommending mitigating controls within the investment process

      • Working with relevant management teams to ensure robust supervisory processes and controls

      • Developing and conducting regulatory training

      • Assisting in drafting policies and procedures for key risk and compliance processes

      • Collaborating with key partners in other risk-related functions

      • Reviewing capital markets related regulatory rule proposals, amendments and regulatory developments and assisting with the evaluation of a rule’s impact on business practices

      • Helping respond to regulatory inquiries or examinations, as needed

      • Advising forensic and compliance testing teams on areas of focus, special investigations and findings

      • Working with other members of the Legal and Compliance Group on compliance initiatives

      • Performing special projects and other duties as assigned

      Qualifications:

      • 15+ years of professional experience, including a strong preference for experience working in a regulatory compliance, legal or investment-related capacity

      • Deep knowledge base relating to Investment Advisers Act and other rules and regulations applicable to the capital markets activities of U.S. investment advisers

      • Ability to apply analytical and decision-making skills in a collaborative and fast-paced environment

      • Ability to synthesize, condense and convey complex regulatory and policy information to key stakeholders in clear, digestible and simple terms

      • Ability to influence outcomes through collaboration, well-defined advice, and effective challenge

      • Good business judgment

      • Excellent written and oral communication skills as well as presentation skills

      • Experience working with reporting and process packages (Tableau, Visio, etc.) is a plus

      • Creativity and ability to work under pressure

      • Proactive, self-motivated and well-organized

       

      JOB TITLE

      Compliance Officer 

      LOCATION

      280 Congress 

      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 GMCANINQ@wellington.com.

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