Compliance Analyst

1 week 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].

  • Compliance Analyst

    2 weeks ago

    New York, New York, United States City of New York Full time

    Job SummaryWe are seeking a highly skilled Compliance Analyst to join our team at the City of New York. The successful candidate will be responsible for conducting professional organizational research to promote efficiencies for reaching compliance goals for all ORCAs compliance and audit initiatives.The ideal candidate will have a master's degree in a...

  • Compliance Risk Analyst Intern

    4 weeks ago

    New York, New York, United States First Citizens Bank Full time

    Compliance Risk Analyst InternshipFirst Citizens Bank is seeking a highly motivated and detail-oriented Compliance Risk Analyst Intern to join our team. As a Compliance Risk Analyst Intern, you will play a critical role in supporting our Compliance and Risk Management team in ensuring the bank's compliance with regulatory requirements and maintaining a...

  • Compliance Analyst

    2 weeks ago

    New York, New York, United States Metropolitan Transportation Authority Full time

    Job SummaryThe Metropolitan Transportation Authority is seeking a highly skilled Compliance Analyst to join its Corporate Compliance Department. The successful candidate will be responsible for conducting research, preparing reports, and providing assistance to the Deputy Chief Compliance Officer and other Corporate Compliance staff members.This is a...

  • Compliance Risk Analyst

    4 days ago

    New York, New York, United States Oppenheimer & Co. Full time

    Job Title: Compliance Risk AnalystAbout the Role:Oppenheimer & Co. Inc. is a leading middle-market investment bank and full service broker-dealer. We are seeking a Compliance Risk Analyst to support the daily functions of our Compliance department.Responsibilities:- Analyze current business processes and systems to identify areas for improvement- Monitor...

  • Compliance Analyst Deputy Manager

    4 weeks ago

    New York, New York, United States JCW Full time

    Deputy Manager, Compliance AnalystA wholesale banking organization in NYC is seeking a Compliance Analyst, Deputy Manager. This role will start off on-site the first three months, but will ultimately turn into a hybrid model once you are familiar with the systems.Key Responsibilities:Assist the Head of Compliance in performing various BSA/AML duties related...

  • Compliance Analyst

    1 month ago

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

    About UsWellington Management Company, LLP is a leading investment management firm that offers comprehensive 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...

  • Compliance Surveillance Analyst

    3 days ago

    New York, New York, United States Oppenheimer & Co. Inc. Full time

    Job OverviewOppenheimer & Co. Inc. is seeking a Surveillance Analyst to support the daily functions of the Compliance department in New York.Key Responsibilities:Analyze current business processes and systems to identify areas for improvementMonitor customer trading activity for suitability via surveillance alerts and reportsReview Financial Advisors, Branch...

  • Senior Compliance Analyst, Investment Advisory Compliance

    2 weeks ago

    New York, New York, United States Jennison Associates Full time

    Job TitleSenior Compliance Analyst, Investment Advisory ComplianceAbout UsJennison Associates is a global investment management firm with over $200 billion in Assets under Management. Our mission is to deliver superior long-term investment returns and excellence in client service.ResponsibilitiesGeneral compliance duties related to execution of the firm's...

  • Compliance Analyst

    1 month ago

    New York, New York, United States Cantor Fitzgerald Full time

    Job Title: Compliance Analyst - US Control RoomCantor Fitzgerald is a leading financial services firm seeking a highly motivated and detail-oriented Compliance Analyst to join our US Control Room team.Job Summary:The Compliance Analyst will play a vital role in supporting our business lines and maintaining a best-in-class Compliance program for our central...

  • Compliance Analyst

    2 months ago

    New York, New York, United States Social Capital Resources Full time

    Social Capital Resources is looking for a Compliance Analyst with a focus on Anti-Money Laundering (AML) for a long-term engagement.Key Responsibilities:Perform enhanced due diligence (EDD) reviews for high-risk clients and evaluate potential suspicious activities.Analyze and resolve alerts from OFAC watchlist screenings and 314(a) information requests...

  • Compliance Risk Analyst

    2 weeks ago

    New York, New York, United States Wilmington Savings Fund Society Full time

    Job Title: Compliance Risk AnalystAt Wilmington Savings Fund Society, we empower our Associates to grow their careers, guide our customers to secure their financial futures, and actively support our Communities so they can fully thrive. Careers with WSFS Bank offer an inclusive and supportive culture, competitive salaries, advancement opportunities, and...

  • Compliance Expert

    2 weeks ago

    New York, New York, United States Add Talent Full time

    Compliance Analyst Job DescriptionWe are seeking a highly skilled Compliance Analyst to join our team at Add Talent. This role involves working closely with legal and compliance professionals to ensure all business activities meet relevant regulations.Key Responsibilities:Assist with the creation and submission of regulatory reports.Collaborate with various...

  • Compliance Analyst

    4 days ago

    New York, New York, 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 robust research capabilities and collaborative culture enable us to deliver tailored investment strategies that meet the unique needs of our clients.About the RoleThe Compliance Analyst will play a...

  • Compliance Officer

    4 weeks ago

    New York, New York, United States JCW Full time

    Deputy Manager, Compliance AnalystJCW is seeking a highly skilled Compliance Analyst, Deputy Manager to join our team in New York, NY. This role will start off on-site for the first three months, transitioning to a hybrid model once familiar with our systems.Key Responsibilities:Assist the Head of Compliance in performing BSA/AML duties related to KYC...

  • Trade Compliance Specialist

    1 month ago

    New York, New York, United States East End Resources Inc Full time

    Compliance AnalystEast End Resources Inc is seeking a highly skilled Compliance Analyst to join their legal and compliance team.About the RoleThe Compliance Analyst will be responsible for establishing, implementing, and maintaining adequate policies and procedures to ensure compliance with regulatory obligations.Key responsibilities include surveillance and...

  • Compliance Officer

    2 weeks ago

    New York, New York, United States City of New York Full time

    Job Title: Compliance AnalystJob Summary:The City of New York is seeking a highly skilled Compliance Analyst to join our team. The successful candidate will be responsible for conducting professional organizational research to promote efficiencies for reaching compliance goals for all ORCAs compliance and audit initiatives.Key Responsibilities:Conduct...

  • Compliance Specialist

    2 weeks ago

    New York, New York, United States Metropolitan Transportation Authority Full time

    Job Title: Compliance AnalystJoin the Metropolitan Transportation Authority (MTA) in a critical role that ensures the organization's compliance with regulatory requirements and internal policies. As a Compliance Analyst, you will play a key part in maintaining the MTA's reputation for integrity and transparency.Key Responsibilities:Conduct research and...

  • Homeland Security Compliance Specialist

    2 weeks ago

    New York, New York, United States City of New York Full time

    Job Title: Assistant Analyst / Analyst / Senior AnalystJob Summary:The City of New York is seeking a highly skilled and detail-oriented individual to join our team as an Assistant Analyst / Analyst / Senior Analyst in the Homeland Security Monitoring and Compliance Unit. The successful candidate will be responsible for ensuring compliance with City, State,...

  • Compliance Officer

    4 weeks ago

    New York, New York, United States Paths Management Services, LLC Full time

    Job SummaryWe are seeking a highly skilled Compliance Analyst to join our team at Paths Management Services, LLC. As a Compliance Analyst, you will play a critical role in ensuring compliance with federal, state, and local regulations related to affordable housing.Key Responsibilities:Conduct on-site compliance reviews to ensure protocols are in...

  • Compliance Officer

    1 week ago

    New York, New York, United States Paths Management Services, LLC Full time

    Job OverviewPaths Management Services, LLC is seeking a highly skilled Compliance Analyst to join our team. As a Compliance Analyst, you will play a critical role in ensuring compliance with federal, state, and local regulations, as well as maintaining accurate and up-to-date records.Key Responsibilities:Conduct on-site compliance reviews to ensure protocols...