Private Investments Compliance Expert

5 days ago


Chicago, Illinois, United States Wellington Management Company, LLP Full time

About Us

Wellington Management, a leading investment management firm, offers comprehensive solutions across various segments of the global capital markets. Our tailored approach helps institutional clients in over 60 countries achieve their return and risk objectives. With a collaborative culture that fosters independent thought and healthy debate, we believe our private partnership structure aligns our perspectives with those of our clients.

About the Role

The Private Investments Compliance Analyst will support Wellington Management's global compliance program, focusing on information controls. As we expand our asset classes, products, and geographical footprint, this role will be instrumental in developing and strengthening critical controls related to non-public information intake. The successful candidate will have in-depth knowledge of our wall cross process for privately marketed transactions and work collaboratively with internal stakeholders on issue identification and escalations.

Responsibilities

  • Enhance information controls and monitoring for confidential information intake, retention, and dissemination 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 applicable policies and procedures;
  • Support regulatory inquiry and exam management, as appropriate;

Qualifications

  • 2-6 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 Control Room or information barrier practices and/or 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;

Estimated Salary Range: $65,000 - $150,000 annually. This salary range takes into account factors such as skill sets, role, certifications, education, and experience. Compensation considerations also include variable compensation and benefits packages.



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