Compliance Testing Analyst

Wellington Management Company, LLP
Boston, USA
03 Sep 2022
25 Sep 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time

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.

We are transitioning to a hybrid work environment where both remote work and the office play a critical role. Our vision is a future where all employees are empowered to work flexibly to drive the best outcomes for our clients. Flexible work is a mindset and a core value. Our employees are encouraged to work remotely two days a week as a standard practice and will have flexibility in terms of working hours.

This is a distinct and exciting opportunity to join a recently formed Enterprise Risk business line dedicated to Wellington's expanding compliance and controls testing practice. The business is planning for a new Center of Excellence that seeks to expand the firm's programs relating to the testing, surveillance and monitoring of current and emerging regulatory compliance risks that arise in the ordinary course of our business. Team members will have the unique opportunity to participate in the design and execution of the strategic vision for the Global Forensics and Regulatory Testing Program. Working as a small, strategic team, this role offers the opportunity for high touch interaction across business lines and engagement with senior stakeholders

The Testing & Analytics Analysts responsibilities include, but are not limited to:
  • Participate in the design and execution of the strategic vision for the Global Forensics and Regulatory Testing Program
  • Actively participate in the identification and design of enhanced regulatory and forensics testing to address the firms risk specific to Market Manipulation, Sustainable Investing, Private Investments, emerging global regulations etc.
  • Participate in the design and implementation of testing and surveillance tools partnering with key stakeholders from Compliance, Information Technology and vendor contacts
  • Conduct testing and surveillance of firm activity using various testing methodologies, such as data analytics, patterned-based testing, output and control testing to assess the firm's compliance and detect violations of policy, regulation and law
  • Participate on various projects and transaction reviews, effectively manage timelines and expectations to deliver high quality work products
  • Conduct and document thorough forensics reviews inclusive of investor interviews, where appropriate, to confirm investment thesis
  • Prepare well written, comprehensive, and timely escalations to stakeholders
  • Continued partnership with senior 1st and 2nd line stakeholders to gain an understanding of the controls, emerging risk for the areas under review to optimize the value of testing
The successful candidate will possess the following qualifications:
  • College undergraduate degree with 5 years or more of testing related experience
  • Experience with testing and surveillance methodologies
  • Knowledge of asset management compliance program related rules and regulations
  • Knowledge of trading, securities markets, and investment products
  • Inquisitive mindset - appropriate level of skepticism and curiosity
  • Strong analytical and problem-solving skills
  • Conversant with data querying, extraction, validation and analytic techniques using tools such as SQL, MS Excel Analytics preferred
  • Highly organized and detail-oriented; demonstrated planning and organizational skills
  • Ability to manage multiple initiatives simultaneously
  • Strong written and oral communication/presentation skills
  • Knowledge/familiarity with compliance-related technologies
  • Capable of instilling confidence with senior 1st and 2nd line leaders; ability to influence without direct authority
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 .

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