Compliance Analyst

4 weeks ago

New York, New York, United States Wellington Management Full time
About the Role

The Compliance Analyst will play a critical role in supporting Wellington Management's global private investments compliance program and its global investment platform and trading compliance program, focusing on information controls.

This position 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.

The successful candidate will have a deep understanding of the firm's wall cross process for privately marketed transactions for both fixed income and equity opportunities.

Key responsibilities will include:

  • Enhancing the firm's information controls and monitoring relating to the intake, retention, and dissemination of confidential information for both private and public companies.
  • Assisting with providing timely regulatory advice to investment, business, and infrastructure teams on information barrier requirements, regulatory obligations, and related internal policies and procedures.
  • Driving the firm's information barrier-cross process and maintaining oversight of restricted lists associated with the private investments business.
  • Collaborating with EMEA and APAC Legal and Compliance colleagues to establish a coordinated approach to information controls.
  • Synthesizing and organizing information, creating team reference tools, and assisting with enhancing and maintaining team documentation practices.
  • Participating in developing and conducting regulatory training.
  • Supporting the firm's compliance policies and procedures governance, including revising and drafting of applicable policies and procedures.
  • Supporting regulatory inquiry and exam management, as appropriate.

This position is open to candidates in Boston, New York, and Chicago. We have a hybrid work environment in which both remote work and time spent in the office will play a critical role.

The Compliance Analyst will be a member of the Legal, Compliance & Risk Group and will report to a Compliance Officer based in our Boston office, working closely with other compliance professionals and attorneys.

Our employees are welcome to work remotely two days a week as a standard practice.

We are dedicated to building and maintaining a diversified workforce and considering a broad array of candidates with a variety of skill, workplace experiences, and backgrounds.

At Wellington Management, our approach to compensation is designed to help us attract, inspire, and retain the best talent in our industry.

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.

The base salary range for this position is: USD 65,000 - 90,000.

This range takes into account the wide range of factors that are considered when making compensation decisions, including but not limited to skill sets, role, skills, and experience, certifications, and education.

This range is an estimate, and further details on salary and total compensation aspects will be shared with candidates during the recruitment process.

Base salary is only one component of Wellington's total compensation approach. Other rewards may include a discretionary Corporate Bonus and/or Incentives, if eligible.

In addition, we 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.

Examples of our benefits include retirement plan, health and wellbeing, dental, vision, and pharmacy coverage, health savings account, flexible spending accounts, and commuter program, employee assistance program, life and disability insurance, adoption assistance, back-up childcare, tuition/CFA reimbursement, and paid time off (leave of absence, paid holidays, volunteer, sick, and vacation time).

We are an equal opportunity employer and ensure that all qualified applicants will receive equal consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information, or any other characteristic protected by applicable law.

If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at [insert email address].

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