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Senior Compliance Officer

2 months ago

Boston, Massachusetts, United States Wellington Management Full time
About Us

Wellington Management is a leading investment management firm that offers a comprehensive range of 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 fosters independent thought and healthy debate.

About the Role

The Head of Private Credit Compliance will play a critical role in supporting and leading Wellington Management's private investments compliance program, focusing on private credit. This individual will work closely with the Chief Compliance Officer to build-out, manage, and execute the compliance infrastructure for private credit, ensuring that our firm remains compliant with relevant regulations and industry standards.

Key Responsibilities
  1. Provide regulatory compliance advice and guidance to the private investments business, collaborating with legal and enterprise risk colleagues to ensure effective risk management.
  2. Oversee regulatory risk and support with respect to Wellington's private credit clients, including funds and separately managed accounts.
  3. Collaborate with portfolio management and infrastructure teams to design physical separation, secure storage, and access controls for private side information, integrating these measures with our public side policies and procedures to prevent the misuse of material non-public information.
  4. Support Wellington's private investments compliance program in regulatory risk areas, including conflicts of interest, MNPI, marketing, fund governance, valuation, and ESG.
  5. Design applicable control frameworks, including drafting relevant policies, procedures, and disclosure.
  6. Participate in developing and conducting regulatory training.
  7. Coordinate enhancements to supervisory processes, internal controls, and internal testing.
  8. Collaborate with EMEA and APAC compliance colleagues to drive coordinated outcomes.
  9. Contribute to the evolving design and execution of team processes, workflows, and compliance management tools.
  10. Participate in project management of key initiatives to support the private investments compliance program.
  11. Synthesize and organize information, create team reference tools, and assist with enhancing and maintaining team recordkeeping practices.
  12. Support regulatory inquiry and exam management in relation to Wellington's private investments business, as appropriate.
Qualifications

We are seeking an experienced professional with a strong background in legal and compliance, preferably with a focus on private credit or direct lending funds. The ideal candidate will possess:

  • 12+ years of experience in legal and compliance, with a strong understanding of regulatory requirements and industry standards.
  • Bachelor's degree plus J.D. or professional designation (e.g. CFA) a plus.
  • Excellent writing skills, with experience drafting policies and legal documents a plus.
  • Excellent interpersonal skills and an ability to work both independently and as a member of a team.
  • Ability to self-start, think creatively, and initiate projects that lead to improved scalable workflows.
  • Highly organized and detail-oriented, with the ability to manage multiple initiatives simultaneously.
  • Strong presentation skills and comfort presenting in large groups.
  • Familiarity with Investment Advisers Act and other rules and regulations applicable to Wellington Management.

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.

At Wellington Management, our approach to compensation is designed to attract, inspire, and retain the best talent in our industry. We strive to pay employees fairly and competitively across all levels and roles. The base salary range for this position is: USD 100,000 - 150,000. 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. 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.