Senior Compliance Officer

2 weeks ago

Chicago, Illinois, United States Wellington Management Company, LLP Full time
About Us

Wellington Management Company, LLP 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 encourages independent thought and healthy debate.

About the Role

The Head of Private Credit Compliance will play a critical role in supporting and leading Wellington Management's private investments compliance program, focusing on private credit. This role will be a key member of the Legal and Enterprise Risk Group and will report to the Private Investments Chief Compliance Officer.

Responsibilities
  • Provide regulatory compliance advice and guidance to the private investments business and collaborate with legal and enterprise risk colleagues.
  • Provide regulatory risk oversight and support with respect to Wellington's private credit clients, including both funds and separately managed accounts.
  • Collaborate with the portfolio management and infrastructure teams to design physical separation, secure storage, access controls for 'private side' information; integrate those measures with the firm's 'public side' policies and procedures to identify and prevent the misuse of material non-public information.
  • Support 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.
  • Design of applicable control frameworks, including drafting relevant policies, procedures and disclosure.
  • 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.
Qualifications
  • 12+ 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.
  • Excellent writing skills; experience drafting policies and legal documents a plus.
  • Excellent interpersonal skills and an ability to work both independently and as a member of a team.
  • Ability to self-start, think creatively and initiate projects that lead to improved scalable workflows.
  • Highly organized and detail oriented with the ability to manage multiple initiatives simultaneously; proactive, self-motivated.
  • Strong presentation skills and comfort presenting in large groups.
  • Familiarity with Investment Advisers Act and other rules and regulations applicable to Wellington Management.

Wellington Management is an equal opportunity employer and welcomes applications from diverse candidates. We are committed to building and maintaining a diverse workforce and considering a broad array of candidates with a variety of skill, workplace experiences, and backgrounds.

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