Senior Compliance Officer

2 weeks ago

Chicago, Illinois, United States Wellington Management Company, LLP Full time
About the Role

We are seeking a highly skilled and experienced Compliance Specialist to join our team at Wellington Management Company, LLP. As a key member of our Legal and Enterprise Risk Group, you will play a critical role in supporting and leading our private investments compliance program, focusing on private credit.

The ideal candidate will have a strong background in legal and compliance, with a minimum of 12 years of experience working at an investment adviser to private credit or direct lending funds. You will be responsible for providing regulatory compliance advice and guidance to our private investments business, as well as collaborating with legal and enterprise risk colleagues to design and implement effective compliance infrastructure.

Key responsibilities will include:

  • Providing regulatory risk oversight and support with respect to our private credit clients, including both funds and separately managed accounts.
  • Collaborating with the portfolio management and infrastructure teams to design physical separation, secure storage, access controls for private side information.
  • Supporting our private investments compliance program (firmwide) regulatory risk areas, including Conflicts of Interest, MNPI, Marketing, Fund Governance, Valuation, and ESG.
  • Designing applicable control frameworks, including drafting relevant policies, procedures, and disclosure.
  • Participating in developing and conducting regulatory training.
  • Coordinating enhancements to supervisory processes, internal controls, and internal testing.
  • Collaborating with EMEA and APAC compliance colleagues to drive coordinated outcomes.
  • Contribute to the evolving design and execution of team processes, workflows, and compliance management tools.
  • Participating in project management of key initiatives to support the private investments compliance program.
  • Synthesizing and organizing information, creating team reference tools, and assisting with enhancing and maintaining team recordkeeping practices.
  • Supporting regulatory inquiry and exam management in relation to our private investments business, as appropriate.

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.

Base salary range for this position is USD 100,000 - 225,000. 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.

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