Compliance Officer, Americas
3 months ago
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.
About the Role
The Compliance Officer will support Wellington Management's compliance program, focusing on the rules and regulations governing US registered investment companies. Wellington Management is expanding the range of its activities with respect to US registered investment companies and a key responsibility of this role will be assessing the firm's compliance infrastructure against these growth initiatives and implementing enhancements where necessary.
The Compliance Officer will be a member of the Legal, Compliance & Risk Group and will report to the Head of Investment Platform Compliance, Americas, working closely with other compliance professionals and attorneys.
RESPONSIBILITIES
- The Compliance Officer's primary responsibilities will include the following:
- Driving the continued development and future maintenance and improvements of Wellington's Investment Company Act compliance program, and ongoing support of Wellington's growing mutual fund business
- Providing regulatory risk management advice and support, including policies & procedures, controls, and policy exceptions, regulatory rules, supervision, etc.
- Reviewing Investment Company-related regulatory rule proposals, amendments and regulatory developments and driving the evaluation of their impact on Wellington's mutual fund business practices
- Recommending enhancements to supervisory processes, internal controls and internal testing
- Responding to regulatory inquiries and examinations
- Developing and conducting regulatory training, where appropriate
- Collaborating with EMEA and APAC compliance colleagues and the broader Enterprise Risk Group to drive coordinated outcomes
- 8+ years of relevant investment adviser and investment company compliance experience (interval fund and ETF compliance experience highly preferred)
- Familiarity with the Investment Advisers Act and other rules and regulations applicable to Wellington Management
- Ability to self-start and think creatively
- Strong business judgment and global mindset
- 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-developed advice
- Ability to apply analytical and decision-making skills in a collaborative and fast-paced, growth-oriented environment
- 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 a plus
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 100,000 - 225,000
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, and we are committed to fostering a flexible work environment that enables employees to thrive personally and professionally. Examples of our benefits include retirement plan, health and wellbeing, dental, vision, and 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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