Compliance Analyst

12 hours ago


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

The Compliance Analyst will support Wellington Management's global private investments compliance program as well as its global investment platform and trading compliance program, focusing on information controls. This role will be responsible for enhancing the firm's information controls and monitoring relating to the intake, retention, and dissemination of confidential information for both private and public companies.

Responsibilities
  • Enhance the firm's information controls and monitoring relating to the intake, retention, and dissemination of confidential information for both private and public companies.
  • Assist with providing timely regulatory advice to investment, business, and infrastructure teams on information barrier requirements, regulatory obligations, and related internal policies and procedures.
  • Drive the firm's information barrier-cross process and maintain oversight of restricted lists associated with the private investments business.
  • Collaborate with EMEA and APAC Legal and Compliance colleagues to establish a coordinated approach to information controls.
  • Synthesize and organize information, create team reference tools, and assist with enhancing and maintaining team documentation practices.
  • Participate in developing and conducting regulatory training.
  • Support the firm's compliance policies and procedures governance, including revising and drafting of applicable policies and procedures.
  • Support regulatory inquiry and exam management, as appropriate.
Qualifications
  • 2 to 6 years of legal or compliance experience.
  • Bachelor's degree plus professional designation (e.g. CFA) a plus.
  • Experience working at a large investment manager with diverse business lines or in a capacity designing and monitoring information controls is a plus.
  • Experience working at an investment adviser or some working knowledge of (i) Control Room or information barrier practices and/or (ii) the trading rules across multiple jurisdictions/regulatory regimes a plus.
  • Experience leveraging/utilizing technology and/or working closely with IT professionals to solve complex problems is a plus.
  • Ability to synthesize, condense, and convey complex information to key stakeholders in clear, digestible, and simple terms.
  • Ability to influence outcomes through collaboration and effective challenge.
  • Strong written and oral communication skills.
  • Proficiency in various technology tools to facilitate process, documentation, audit trail, and reporting capabilities.
  • Highly organized and detail-oriented with the ability to manage multiple initiatives simultaneously; proactive, self-motivated.
  • Ability to self-start, think creatively, and initiate projects that lead to improved scalable workflows.
  • Familiarity with U.S. Investment Advisers Act and other rules and regulations applicable to asset managers.


  • Chicago, Illinois, United States Cook County Government Full time

    Job SummarySeeking a highly skilled Compliance Analyst to join our team at Cook County Government. As a Compliance Analyst, you will be responsible for handling moderately complex compliance initiatives and activities for the Office of Contract Compliance. Your primary goal will be to ensure efficient and successful implementation of responsibilities...


  • Chicago, Illinois, United States Grainger Full time

    Product Compliance AnalystGrainger is seeking a highly skilled Product Compliance Analyst to join our team. As a Product Compliance Analyst, you will be responsible for ensuring that all products across our portfolio meet applicable safety and health regulations and industry standards.Key Responsibilities:Review and analyze compliance information related to...


  • Chicago, Illinois, United States The Fountain Group Full time

    Job Title: Compliance/Logistics Analyst Job Summary: We are seeking a highly skilled Compliance/Logistics Analyst to join our team at The Fountain Group. As a key member of our logistics team, you will be responsible for coordinating the inbound and outbound shipment process, ensuring compliance with U.S. Import & Export Regulations, and maintaining...


  • Chicago, Illinois, United States Abbott Laboratories company Full time

    About the RoleWe are seeking a highly skilled Senior Analyst to join our Customs and Trade Compliance team at Abbott Laboratories. As a key member of our team, you will be responsible for providing oversight and support for import and export recordkeeping to ensure documentation and processes meet regulatory requirements and corporate policies.Key...


  • Chicago, Illinois, United States LHH Full time

    Job Title: Tax AnalystLHH is seeking a highly skilled Tax Analyst to join our team in Chicago. As a Tax Analyst, you will play a critical role in ensuring the company's compliance with federal and state tax provisions and regulations.Key Responsibilities:Tax Provision Preparation: Prepare comprehensive tax calculations for all US operations on a monthly,...


  • Chicago, Illinois, United States CNO Financial Group Full time

    About the RoleCNO Financial Group is seeking a Senior Legal Compliance Analyst to join our Corporate team. As a key member of our compliance team, you will be responsible for executing and operating CNO's Anti-Money Laundering (AML) and watchlist transaction monitoring in a timely manner.Key ResponsibilitiesInvestigate potentially suspicious activity and...

  • Compliance Specialist

    4 weeks ago


    Chicago, Illinois, United States Cook County Government Full time

    Job SummaryWe are seeking a highly skilled Compliance Analyst to join our team at Cook County Government. The successful candidate will be responsible for handling moderately complex compliance initiatives and activities for the Office of Contract Compliance.Key ResponsibilitiesEnsure efficient and successful implementation of responsibilities outlined in...


  • Chicago, Illinois, United States WEX Full time

    Regulatory Compliance AnalystWEX Inc., a leading provider of business-to-business payment solutions, is seeking a highly skilled Regulatory Compliance Analyst to join its team. As a key member of the Financial Services Compliance Advisory group, you will play a critical role in maintaining the company's leadership position in the industry.Key...


  • Chicago, Illinois, United States LHH Recruitment Solutions Full time

    Job Title: Tax AnalystLHH Recruitment Solutions is seeking a highly skilled Tax Analyst to join our team in Chicago. This is a remote role that requires strong tax knowledge and compliance skills.Key Responsibilities:Perform tax provision calculations for US operations using OneSource Tax Provision software.Support international tax provision calculations...


  • Chicago, Illinois, United States LHH Recruitment Solutions Full time

    Job Title: Tax AnalystLHH Recruitment Solutions is seeking a highly skilled Tax Analyst to join our team in Chicago. This is a remote role that requires strong expertise in federal and state tax provisions and compliance.Key Responsibilities:Perform tax provision calculations for all US operations using OneSource Tax Provision software.Support international...


  • Chicago, Illinois, United States Camping World Holdings, Inc. Full time

    Job SummaryWe are seeking a highly skilled HR Operations Compliance Analyst to join our team. As a key member of our HR Operations team, you will serve as the compliance point of contact and support key compliance-related processes, audit activities, and required compliance reporting.Key ResponsibilitiesSupport compliance-related processes, including audit...


  • Chicago, Illinois, United States The Fountain Group Full time

    Job Summary:As a Compliance Logistics Analyst with The Fountain Group, you will play a crucial role in coordinating the inbound and outbound shipment process, ensuring compliance with U.S. Import & Export Regulations. Your expertise in import/export logistics, international freight forwarding, and the Harmonized Tariff Schedule will be essential in...


  • Chicago, Illinois, United States Interactive Brokers Full time

    Job Title: KYC AnalystAbout the Role:We are seeking a highly motivated and detail-oriented KYC Analyst to join our team at Interactive Brokers. As a KYC Analyst, you will play a critical role in ensuring the firm's compliance with regulatory requirements and industry standards.Key Responsibilities:Conduct ongoing review analysis of clients' KYC profiles,...


  • Chicago, Illinois, United States HighTower Full time

    Job Title: Tax AnalystWe are seeking a highly skilled and experienced Tax Analyst to join our Finance and Real Estate team at Hightower.Job SummaryThe Tax Analyst will be responsible for ensuring the organization's compliance in all relevant tax areas, including income tax, property tax, sales and use tax, and others. This position requires someone with an...

  • Customs Analyst

    2 weeks ago


    Chicago, Illinois, United States KYYBA Full time

    Job Title: Customs AnalystWe are seeking a highly skilled Customs Analyst to join our team at Kyyba. As a Customs Analyst, you will play a critical role in ensuring compliance with all relevant customs regulations and trade laws and regulations.Key Responsibilities:Provide technical and analytical support for customs and trade compliance matters at the...


  • Chicago, Illinois, United States Chicago Public Schools Full time

    Job SummaryUnder the direction of the Director of Compliance & Data, the Data Compliance Team Lead is responsible for ensuring that the District is in compliance with Title VI, Title VII, Title IX, and related laws, regulations, and policies as it pertains to the training of District employees as well as in handling of investigations.Key ResponsibilitiesLead...

  • Tax Analyst

    3 weeks ago


    Chicago, Illinois, United States LHH Recruitment Solutions Full time

    Job Title: Tax AnalystLHH Recruitment Solutions is seeking a highly skilled Tax Analyst to join our team. As a Tax Analyst, you will be responsible for providing tax compliance and planning services to our clients. This is a challenging and rewarding role that requires strong analytical and communication skills.Key Responsibilities:Prepare and review tax...


  • Chicago, Illinois, United States Katalyst HealthCares & Life Sciences Full time

    Job DescriptionKatalyst HealthCares & Life Sciences is seeking a highly skilled Risk and Control Analyst to join our team.Responsibilities:Gather and analyze data to identify potential business expansion opportunities.Utilize expertise in Compliance, Risk, Audit, and Control to drive business growth.Influence stakeholders to support business projects and...


  • Chicago, Illinois, United States Loretto Hospital Full time

    Job SummaryThe Application Analyst plays a crucial role in bridging the gap between Information Technology and user departments at Loretto Hospital. This position requires strong leadership skills, with the ability to lead small projects, plan, direct, organize, and support the use of Meditech Magic modules. Effective communication with non-technical...


  • Chicago, Illinois, United States Northwestern Medicine Full time

    Business Analyst, IS Automation ServicesThe Business Analyst plays a vital role in reflecting the mission, vision, and values of Northwestern Medicine. This individual adheres to the organization's Code of Ethics and Corporate Compliance Program, ensuring compliance with all relevant policies, procedures, and guidelines. As a key member of the team, the...