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 50 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.
The Compliance Officer will lead Wellington Management's core compliance program. The Compliance Officer will be a member of the Legal and Compliance Group and will report to the Manager of Investment Adviser Compliance.
The Compliance Officer's principal responsibilities will include the following:
Designing and overseeing Wellington's compliance program for core (firmwide) regulatory risk areas, including ERISA, Investment Company Act of 1940, Custody and Whistleblower Rules and records retention
Administering the Wellington Management regulatory risk assessment; Coordinating risk assessment process with relevant subject matter experts, Legal Department, business and operational risk professionals
Providing risk management advice with respect to policies & procedures, controls, policy exceptions, regulatory rules, supervision, etc.
Drafting policies and procedures for key risk and compliance processes
Developing and conducting regulatory training, where appropriate
Recommending enhancements to supervisory processes, internal controls and internal testing
Responding to regulatory inquiries or examinations, as appropriate
Collaborating with EMEA and APAC compliance colleagues and Operational Risk professionals to drive coordinated outcomes
Lead key Legal and Compliance Group initiatives, including the development of a governance, risk management and compliance framework
10+ years of compliance or relevant investment adviser experience. Bachelor's degree plus J.D. or professional designation (e.g. CFA) a plus
Deep familiarity with Investment Advisers Act and other rules and regulations applicable to Wellington Management
Prior success developing and implementing technology solutions to strengthen internal controls
Exceptionally strong business judgment
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 defined advice
Ability to apply analytical and decision-making skills in a collaborative and fast-paced environment
Strong understanding of and experience with data analysis tools
Creativity and ability to work under pressure
Proactive, self-motivated and well-organized
JOB TITLE Compliance Officer
JOB FAMILY Compliance
LOCATION 280 Congress
As an equal opportunity employer, Wellington Management considers all qualified applicants will receive 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 GMCANINQ@wellington.com .
Internal Number: 5598682
About Wellington Management Company, LLP
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