Compliance Officer, Americas

2 weeks ago

Boston, Massachusetts, United States Wellington Management Full time
About Us

Wellington Management 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 fosters independent thought and healthy debate.

About the Role

The Compliance Officer will play a critical role in supporting Wellington Management's compliance program, focusing on the rules and regulations governing US registered investment companies. This includes assessing the firm's compliance infrastructure against growth initiatives and implementing enhancements where necessary.

Responsibilities
  • Develop and maintain Wellington's Investment Company Act compliance program, ensuring ongoing support for the firm's growing mutual fund business.
  • Provide regulatory risk management advice and support, including policies, procedures, controls, and policy exceptions.
  • Review Investment Company-related regulatory rule proposals, amendments, and developments, evaluating their impact on Wellington's mutual fund business practices.
  • Recommend enhancements to supervisory processes, internal controls, and internal testing.
  • Respond to regulatory inquiries and examinations.
  • Develop and conduct regulatory training, as needed.
  • Collaborate with EMEA and APAC compliance colleagues and the broader Enterprise Risk Group to drive coordinated outcomes.
Qualifications
  • 8+ years of relevant investment adviser and investment company compliance experience, with 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, with 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, 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.
What We Offer

At Wellington Management, we strive to attract, inspire, and retain the best talent in our industry. Our approach to compensation is designed to provide a comprehensive and competitive total compensation package, including salary, variable compensation, and benefits. We also offer a comprehensive and high-value benefit package to meet the unique needs of our employees and their families, and we are committed to fostering a flexible work environment that enables employees to thrive personally and professionally.

  • Compliance Officer, Americas

    2 weeks ago

    Boston, Massachusetts, United States Wellington Management Full time

    About UsWellington Management is a leading investment management firm that offers a comprehensive range of investment solutions to institutional clients worldwide. Our team of experienced professionals is dedicated to delivering exceptional investment performance and providing unparalleled client service.The RoleWe are seeking a highly skilled Compliance...

  • Compliance Officer, Americas Core

    2 weeks ago

    Boston, Massachusetts, United States Wellington Management Full time

    About UsWellington Management is a leading investment management firm that offers comprehensive 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 RoleWe are seeking a highly skilled...

  • Compliance Officer, Americas Core

    2 weeks ago

    Boston, Massachusetts, United States Wellington Management Full time

    About UsWellington Management is a leading investment management firm that offers comprehensive 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 RoleWe are seeking a highly skilled...

  • Compliance Officer, Americas Core

    2 weeks ago

    Boston, Massachusetts, United States Wellington Management Full time

    About UsWellington Management is a leading investment management firm that offers comprehensive 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 RoleWe are seeking a highly skilled...

  • Compliance Officer, Americas

    2 weeks ago

    Boston, Massachusetts, United States Wellington Management Full time

    About UsWellington Management 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 fosters independent thought and healthy debate.About the RoleThe Compliance Officer will...

  • Compliance Officer, Americas

    3 weeks ago

    Boston, Massachusetts, United States Wellington Management Full time

    About UsWellington Management is a leading investment management firm that offers comprehensive investment solutions to institutional clients worldwide. Our commitment to excellence and our collaborative culture enable us to deliver exceptional results and foster a long-term view that aligns with our clients' objectives.About the RoleThe Compliance Officer...

  • Compliance Officer, Americas

    1 day ago

    Boston, Massachusetts, United States Wellington Management Full time

    About UsWellington Management is a leading investment management firm that offers a comprehensive range of investment solutions to institutional clients globally. Our commitment to delivering exceptional investment performance and risk management is underpinned by a robust proprietary research framework and a collaborative culture that fosters independent...

  • Compliance Officer

    5 days ago

    Boston, Massachusetts, United States Fidelity Investments Full time

    Job Title: Compliance OfficerAs a key member of the Fidelity Digital Asset Services, LLC (FDAS) Compliance team, you will play a critical role in promoting a culture of ethical conduct and commitment to compliance, regulatory, and legal obligations. In this role, you will lead the Controls, Testing, and Oversight Team, collaborating closely with within FDAS...

  • Compliance Officer

    1 day ago

    Boston, Massachusetts, United States Massachusetts General Hospital Full time

    Job SummaryWe are seeking a highly skilled Compliance Officer to join our team at Massachusetts General Hospital. The successful candidate will be responsible for ensuring regulatory compliance within the areas of the animal care and use program, leading the investigation, review, and reporting of potential compliance concerns and adverse events, and...

  • Chief Compliance Officer

    5 days ago

    Boston, Massachusetts, United States PeopleFluent Full time

    Chief Compliance OfficerWe are a growing Registered Investment Advisory firm located in downtown Boston. Our primary distribution channels are in the US broker-dealer and investment advisor marketplace. We are seeking a Chief Compliance Officer who can provide advisory oversight in all facets of our business.Key Responsibilities:Develop a detailed...

  • Safety and Compliance Officer

    2 weeks ago

    Boston, Massachusetts, United States Alliance Ground International Full time

    Job Title: Safety and Compliance Officer Job Summary: Alliance Ground International is seeking a highly motivated and experienced Safety and Compliance Officer to join our team. As a key member of our safety team, you will be responsible for ensuring that our operations are conducted in a safe and compliant manner. Responsibilities: * Develop and...

  • Compliance Analyst, Americas Client Platform

    2 weeks ago

    Boston, Massachusetts, United States Wellington Management Full time

    About UsWellington Management is a leading investment management firm that offers comprehensive investment solutions to institutional clients worldwide.Our collaborative culture and robust research capabilities enable us to provide tailored investment solutions that meet the unique needs of our clients.About the RoleWe are seeking a highly motivated...

  • Equal Opportunity and Compliance Officer

    2 weeks ago

    Boston, Massachusetts, United States SUNY Oneonta Full time

    Job Title: Equal Opportunity and Compliance OfficerSUNY Oneonta is seeking a proactive leader to join our team as an Equal Opportunity and Compliance Officer. We are dedicated to fostering an environment where safety, respect, and equity prevail.Key Responsibilities:Ensure compliance with federal and state employment and education law and SUNY and university...

  • Compliance Officer, Assistant Vice President

    1 day ago

    Boston, Massachusetts, United States State Street Corporation Full time

    About the RoleWe are seeking a highly skilled Compliance Officer to join our team at State Street Corporation. As a key member of our Compliance Department, you will play a critical role in preventing, detecting, and mitigating compliance, regulatory, and reputational risk across the organization.Key ResponsibilitiesAdvise and implement enhancements to the...

  • Compliance Officer, Assistant Vice President

    2 weeks ago

    Boston, Massachusetts, United States State Street Corporation Full time

    Job SummaryWe are seeking a highly skilled Compliance Officer, Assistant Vice President to join our Swap Dealer Compliance team at State Street Corporation. As a key member of our team, you will play a critical role in advising internal stakeholders on the implementation and development of Commodity Futures Trading Commission (CFTC) and National Futures...

  • Compliance Officer

    4 weeks ago

    Boston, Massachusetts, United States destinationone Consulting Full time

    At destinationone Consulting, we specialize in recruitment across various sectors, including Healthcare, Health Tech, Government, Municipalities, NonProfits, and Legal. As a Compliance Officer, you will play a crucial role in ensuring that our company and its employees comply with internal policies and external regulations.**Key Responsibilities:**Develop...

  • Senior Vice President Compliance

    2 weeks ago

    Boston, Massachusetts, United States HUB International Full time

    About HUB InternationalHUB International is a leading insurance broker that advises businesses and individuals on how to prepare for the unexpected. With a focus on providing customers with peace of mind, our team is dedicated to delivering tailored insurance solutions that put our clients in control.About the RoleWe are seeking an experienced compliance...

  • Compliance Officer, Assistant Vice President

    2 weeks ago

    Boston, Massachusetts, United States State Street Corporation Full time

    About the RoleWe are seeking a highly motivated Compliance Officer, Assistant Vice President to join our Corporate Compliance team. The successful candidate will play a key role in ensuring State Street meets its legal and regulatory obligations.Key ResponsibilitiesAssist with the execution of the compliance framework to ensure State Street meets its legal...

  • Leasing Credit Officer

    2 weeks ago

    Boston, Massachusetts, United States Bank of America Full time

    Job Title: Leasing Credit OfficerAt Bank of America, we are committed to helping our clients achieve their financial goals through innovative solutions. As a Leasing Credit Officer, you will play a critical role in assessing and mitigating credit risk, ensuring the success of our clients and the bank.Key Responsibilities:Evaluate new end-user credit...

  • Senior Compliance Officer

    2 weeks ago

    Boston, Massachusetts, United States Wellington Management Full time

    About UsWellington Management is a leading investment management firm that offers a comprehensive range of investment solutions to institutional clients worldwide. Our team of experts provides tailored investment strategies that cater to the unique needs of our clients, drawing on a robust body of proprietary research and a collaborative culture that fosters...