Investment Compliance Specialist, Americas
1 week ago
At Wellington Management Company, LLP, we offer a comprehensive investment management platform that spans nearly all segments of the global capital markets. Our investment solutions are tailored to the unique return and risk objectives of institutional clients in over 60 countries.
About UsWe are a private partnership that believes our ownership structure fosters a long-term view that aligns our perspectives with those of our clients. This approach enables us to provide innovative and effective investment solutions that meet the evolving needs of our clients.
The Compliance Officer will be responsible for supporting our compliance program, focusing on the rules and regulations governing US registered investment companies. This role requires assessing our compliance infrastructure against our growth initiatives and implementing enhancements where necessary.
About the RoleThis position is part of our Legal, Compliance & Risk Group and will report to the Head of Investment Platform Compliance, Americas. The successful candidate will work closely with other compliance professionals and attorneys to drive the development and maintenance of our compliance program.
The primary responsibilities of this role include:
- Developing and maintaining our Investment Company Act compliance program and supporting our growing mutual fund business.
- Providing regulatory risk management advice and support, including policies & procedures, controls, and policy exceptions.
- Reviewing Investment Company-related regulatory rule proposals, amendments, and developments and evaluating their impact on our 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.
We are seeking an experienced professional with a strong background in investment adviser and investment company compliance. The ideal candidate will have at least 8 years of relevant experience and a deep understanding of the Investment Advisers Act and other rules and regulations applicable to our firm.
Key qualifications include:
- 8+ years of relevant investment adviser and investment company compliance experience.
- 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.
- 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.
We offer a competitive salary range of $100,000 - $225,000, which is based on factors such as skill sets, role, skills, experience, certifications, and education. In addition to salary, we offer a comprehensive benefits package, including retirement plan, health and wellbeing, dental, vision, and pharmacy coverage, health savings account, flexible spending accounts, 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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