What are the responsibilities and job description for the Senior Regulatory Compliance Analyst position at Wellington Management Company, LLP?
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.
Do not pass up this chance, apply quickly if your experience and skills match what is in the following description.
About the Role
The Senior Regulatory Compliance Analyst will support Wellington Management's compliance program, focusing primarily on the rules and regulations governing US registered investment companies and other elements of Wellington's 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 firm's 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 Analyst's primary responsibilities will include the following :
Driving the continued development and future maintenance and improvements of Wellington's Investment Company Act compliance program, and ongoing support of Wellington's growing funds business
Providing regulatory risk management advice and support, including policies & procedures, controls, and policy exceptions, regulatory rules, supervision, etc.
Reviewing Investment Company-related and other regulatory rule proposals, amendments and regulatory developments and driving the evaluation of their impact on Wellington's 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 self-start 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 well-developed advice
Ability to apply analytical and decision-making skills in a collaborative and fast-paced, growth-oriented 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
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 GMWTalentOperations@wellington.com .
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 100,000 - 225,000
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)
PDN-9cdcfc3b-6292-48c6-8b59-e1f9752c34c5
Salary : $100,000 - $225,000
