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

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.

About the Role

The Compliance Analyst will support Wellington Management's private investments compliance program, focusing on private credit. The Compliance Analyst will be a member of the Legal and Enterprise Risk Group and will report to the Private Investments Chief Compliance Officer, working closely with other compliance professionals and attorneys.

The Compliance Analyst's principal responsibilities will include the following:
  • Serve as the private credit subject matter expert in providing regulatory compliance advice and guidance to the private investments business and in collaborating with legal and enterprise risk colleagues.
  • Supporting Wellington's private investments compliance program (firmwide) regulatory risk areas including those that pertain to Conflicts of Interest, MNPI, Marketing, Fund Governance, Valuation, and ESG
  • Support the firm's compliance policies and procedures governance, including revising and drafting of applicable policies and procedures
  • Participate in developing and conducting regulatory training
  • Coordinate enhancements to supervisory processes, internal controls and internal testing
  • Collaborate with EMEA and APAC compliance colleagues to drive coordinated outcomes
  • Contribute to the evolving design and execution of team processes, workflows and compliance management tools
  • Participate in project management of key initiatives to support the private investments compliance program
  • Synthesize and organize information, create team reference tools, and assist with enhancing and maintaining team recordkeeping practices
  • Support regulatory inquiry and exam management in relation to Wellington's private investments business, as appropriate
  • 5+ years of legal and compliance experience working at an investment adviser to private credit or direct lending fund(s)
  • Bachelor's degree plus J.D. or professional designation (e.g. CFA) 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 .

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