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Compliance Officer, Americas

2 months 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 capabilities span nearly all segments of the global capital markets, and our proprietary research and collaborative culture enable us to provide tailored investment solutions to meet the unique needs of our clients.

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 role will be responsible for assessing the firm's compliance infrastructure and implementing enhancements to ensure that our investment activities are in compliance with relevant regulations.

The Compliance Officer will be a key member of the Legal, Compliance & Risk Group and will report to the Head of Investment Platform Compliance, Americas. This role will work closely with other compliance professionals and attorneys to ensure that our compliance program is effective and efficient.

Responsibilities
  • Develop and maintain Wellington Management's Investment Company Act compliance program, ensuring that it is up-to-date and effective in managing regulatory risk.
  • Provide regulatory risk management advice and support to the firm's investment teams, including policies and procedures, controls, and policy exceptions.
  • Review and analyze regulatory rule proposals, amendments, and developments to assess their impact on Wellington Management's investment activities.
  • Recommend enhancements to supervisory processes, internal controls, and internal testing to ensure that our compliance program is robust and effective.
  • Respond to regulatory inquiries and examinations, ensuring that the firm is in compliance with relevant regulations.
  • Develop and conduct regulatory training programs to ensure that our investment teams are aware of their compliance responsibilities.
  • Collaborate with EMEA and APAC compliance colleagues and the broader Enterprise Risk Group to drive coordinated outcomes and ensure that our compliance program is effective globally.
Qualifications
  • 8+ years of relevant investment adviser and investment company compliance experience, with a strong background in interval fund and ETF compliance.
  • Familiarity with the Investment Advisers Act and other rules and regulations applicable to Wellington Management.
  • Strong business judgment and global mindset, with the ability to think creatively and self-start.
  • Excellent written and oral communication skills, with the ability to present complex regulatory and policy information to key stakeholders in clear and simple terms.
  • Ability to influence outcomes through collaboration and well-developed advice, with a strong track record of 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 is a plus.