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Compliance Officer, Americas
2 months ago
Wellington Management is a leading investment management firm that offers a comprehensive range of investment solutions to institutional clients worldwide. Our investment approach is built on a robust body of proprietary research and a collaborative culture that fosters independent thought and healthy debate.
About the RoleThe 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 is an exciting opportunity for a seasoned compliance professional to join our team and contribute to the growth and development of our compliance infrastructure.
Responsibilities- Develop and maintain Wellington's Investment Company Act compliance program, ensuring it remains effective and efficient in supporting our growing mutual fund business.
- Provide regulatory risk management advice and support, including policies and procedures, controls, and policy exceptions.
- Review and analyze regulatory rule proposals, amendments, and developments to assess their impact on our mutual fund business practices.
- Recommend enhancements to supervisory processes, internal controls, and internal testing.
- Respond to regulatory inquiries and examinations.
- Develop and conduct regulatory training, as needed.
- Collaborate with EMEA and APAC compliance colleagues and the broader Enterprise Risk Group to drive coordinated outcomes.
- 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.
- Excellent written and oral communication skills, with the ability to present complex regulatory information to key stakeholders.
- Ability to influence outcomes through collaboration and well-developed advice.
- Ability to apply analytical and decision-making skills in a collaborative and fast-paced environment.
- Prior success in identifying, developing, and implementing projects that mitigate risk and lead to improved and scalable workflows.
At Wellington Management, we offer a comprehensive and competitive compensation package, including a base salary range of $100,000 to $150,000, as well as a discretionary corporate bonus and incentives. We also offer a range of benefits, including a retirement plan, health and wellbeing, dental, vision, and pharmacy coverage, health savings account, flexible spending accounts, and commuter program.
We are committed to fostering a flexible work environment that enables employees to thrive personally and professionally. If you are a motivated and experienced compliance professional looking for a new challenge, we encourage you to apply for this exciting opportunity.
