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Analyst, Investment Platform Compliance

Employer
Wellington Management Company, LLP
Location
Boston, USA
Salary
Competitive
Closing date
Nov 29, 2023

View more

Job Function
Operations
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
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

POSTITION OVERVIEW
The Compliance Analyst will be a member of Americas Public Investment Platform Compliance, a diverse team of compliance professionals responsible for overseeing Wellington Management's public investment platform compliance program, including regulatory matters relating to the firm's public investments business, policies and procedures, risk assessment, training, and testing design. As Wellington is expanding the asset classes, products and geographical footprint of its public and private investments businesses, a key responsibility of the role will be supporting the development and strengthening of critical controls related to the firm's intentional intake of non-public information. The successful candidate will hone a deep understanding of the firm's wall cross process for privately marketed transactions for both fixed income and equity opportunities, work collaboratively with various internal stakeholders on issue identification and escalations, and assist with the strategic implementation of IT solutions to streamline the compliance framework around conflicts and non-public information. Testing and monitoring of newly implemented controls supporting the infrastructure around the firm's private business will also be a key component of the role.

The Compliance Analyst will report directly to a Compliance Officer on the Americas Public Investment Platform Compliance team.

RESPONSIBILITIES
The Compliance Analyst's primary responsibilities will include the following:

• Enhance the firm's information controls and monitoring relating to the intake, retention and dissemination of confidential information for both private and public companies; enhance the scope and integrity of controls monitoring the communication of "private side" information to the firm's "public side" investors
• Design and execute testing related to the surveillance and monitoring of integral information barrier controls
• Drive the firm's wall-cross process for various deal types (follow-on offerings, PIPEs, SPACs, etc.) and maintain oversight of restricted/watch lists associated with the transactions
• Collaborate with EMEA and APAC Legal and Compliance colleagues to establish a coordinated approach to wall cross processing
• Develop and maintain collaborative partnerships with our investors and the firm's senior leaders
• Synthesize and organize information, create team reference tools, and assist with enhancing and maintaining team documentation practices
• Contribute to the strategic vision and direction of the team's comprehensive and integrated compliance framework with respect to nonpublic information
• Work with other members of Legal & Enterprise Risk on regulatory, compliance and operational risk initiatives
• Support regulatory inquiry and exam management in relation to Wellington's global business, as appropriate

QUALIFICATIONS

• 2+ years of compliance experience
experience working at a large investment manager with diverse business lines or in a capacity designing and monitoring information controls is a plus
experience leveraging/utilizing technology and/or working closely with IT professionals to solve complex problems is a plus
• Ability to apply analytical and decision-making skills in a collaborative and fast-paced environment
• Ability to synthesize, condense and convey complex information to key stakeholders in clear, digestible, and simple terms
• Ability to influence outcomes through collaboration and effective challenge
• Strong written and oral communication skills
• Highly organized and detail oriented with the ability to manage multiple initiatives simultaneously; proactive, self-motivated
• Adaptable and well-organized; ability to work well independently and as part of a team

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 65,000 - 150,000
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. Examples of our benefits include retirement plan, health and wellbeing, dental, vision, 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)

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