Compliance Officer, Americas
2 days ago
Wellington Management is a leading investment management firm that offers a comprehensive range of investment solutions to institutional clients worldwide. Our investment approach is built on a robust body of proprietary research and a collaborative culture that fosters independent thought and healthy debate.
About the RoleThe Compliance Officer will play a critical role in supporting Wellington Management's compliance program, focusing on the rules and regulations governing US registered investment companies. This is an exciting opportunity for a seasoned compliance professional to join our team and contribute to the growth and development of our compliance infrastructure.
Responsibilities- Develop and maintain Wellington's Investment Company Act compliance program, ensuring it remains effective and efficient in supporting our growing mutual fund business.
- Provide regulatory risk management advice and support, including policies and procedures, controls, and policy exceptions.
- Review and analyze regulatory rule proposals, amendments, and developments to assess their impact on our mutual fund business practices.
- Recommend enhancements to supervisory processes, internal controls, and internal testing to ensure compliance with regulatory requirements.
- Respond to regulatory inquiries and examinations, ensuring timely and effective communication with regulatory bodies.
- Develop and conduct regulatory training programs to ensure compliance professionals are equipped to navigate complex regulatory requirements.
- 8+ years of relevant investment adviser and investment company compliance experience, with a strong background in interval fund and ETF compliance.
- Familiarity with the Investment Advisers Act and other rules and regulations applicable to Wellington Management.
- Strong business judgment and global mindset, with the ability to self-start and think creatively.
- Excellent written and oral communication skills, with the ability to present complex regulatory information in a clear and concise manner.
- Ability to influence outcomes through collaboration and well-developed advice, with a strong track record of identifying and implementing projects that mitigate risk and improve workflows.
Wellington Management offers a comprehensive and competitive compensation package, including a base salary range of $100,000 to $150,000, a discretionary corporate bonus, and a range of benefits to support your physical and mental well-being. We are committed to fostering a flexible work environment that enables employees to thrive personally and professionally.
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