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Compliance Officer, Americas
2 months ago
Wellington Management Company, LLP is a leading investment management firm that offers a comprehensive range of investment solutions to institutional clients worldwide. Our investment capabilities span nearly all segments of the global capital markets, and our proprietary research and collaborative culture enable us to deliver tailored investment solutions that meet the unique return and risk objectives of our clients.
About the RoleThe Compliance Officer, Americas will play a critical role in supporting Wellington Management's compliance program, focusing on the rules and regulations governing US registered investment companies. This role will be responsible for assessing the firm's compliance infrastructure against its growth initiatives and implementing enhancements where necessary.
Responsibilities- Investment Company Act Compliance Program Development
- Drive the continued development and future maintenance and improvements of Wellington's Investment Company Act compliance program.
- Provide ongoing support for Wellington's growing mutual fund business.
- Regulatory Risk Management
- Provide regulatory risk management advice and support, including policies & procedures, controls, and policy exceptions.
- Review Investment Company-related regulatory rule proposals, amendments and regulatory developments and drive the evaluation of their impact on Wellington's mutual fund business practices.
- Supervisory Processes and Internal Controls
- Recommend enhancements to supervisory processes, internal controls and internal testing.
- Regulatory Inquiries and Examinations
- Respond to regulatory inquiries and examinations.
- Regulatory Training
- Develop and conduct regulatory training, where appropriate.
- Collaboration and Coordination
- Collaborate 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.
