Compliance Officer, Americas

4 weeks ago

New York, New York, United States Wellington Management Company, LLP Full time
About Us

Wellington Management Company, LLP is a leading investment management firm that offers comprehensive investment solutions to institutional clients worldwide. Our team of experienced professionals is dedicated to providing exceptional service and expertise to our clients.

About the Role

We are seeking a highly skilled Compliance Officer to join our team in the Americas region. The successful candidate will be responsible for supporting our compliance program, focusing on the rules and regulations governing US registered investment companies.

The Compliance Officer will be a key member of our Legal, Compliance & Risk Group and will report to the Head of Investment Platform Compliance, Americas. The role will involve working closely with other compliance professionals and attorneys to ensure that our firm's compliance infrastructure is robust and effective.

Responsibilities:
  • Develop and maintain our 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 our business teams, including policies & procedures, controls, and policy exceptions.
  • Review and analyze regulatory rule proposals, amendments, and developments to ensure that they are properly understood and implemented.
  • Recommend enhancements to supervisory processes, internal controls, and internal testing to ensure that our firm's compliance program is effective.
  • Respond to regulatory inquiries and examinations, ensuring that our firm's compliance program is properly represented.
  • Develop and conduct regulatory training programs to ensure that our employees are aware of their compliance responsibilities.
Qualifications:
  • 8+ years of relevant investment adviser and investment company compliance experience.
  • Familiarity with the Investment Advisers Act and other rules and regulations applicable to our firm.
  • Strong business judgment and global mindset.
  • Excellent written and oral communication skills.
  • 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.
What We Offer:

We offer a comprehensive and competitive compensation package, including a base salary range of USD 100,000 - 225,000, discretionary Corporate Bonus and/or Incentives, and a comprehensive benefits package. We are committed to fostering a flexible work environment that enables our employees to thrive personally and professionally. Examples of our benefits include retirement plan, health and wellbeing, dental, vision, and pharmacy coverage, health savings account, flexible spending accounts, and commuter program.

We are an equal opportunity employer and welcome applications from diverse candidates. If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for this role, please email us at GMWTalentOperations@wellington.com.

We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary, variable compensation, and benefits.

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