Senior Compliance Analyst

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Senior Compliance Analyst Apply locations Boston, MA, United States time type Full time posted on Posted 4 Days Ago job requisition  R92577
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.

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

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