Compliance Analyst
12 hours ago
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.
- 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.
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