Compliance Analyst

4 weeks ago

New York, New York, United States Wellington Management Full time
About Us

Wellington 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 Role

The Compliance Analyst will play a critical role in supporting our global private investments compliance program, focusing on information controls. This includes enhancing the firm's information controls and monitoring relating to the intake, retention, and dissemination of confidential information for both private and public companies.

Key Responsibilities
  • Enhance the firm's information controls and monitoring relating to the intake, retention, and dissemination of confidential information for both private and public companies.
  • Assist with providing timely regulatory advice to investment, business, and infrastructure teams on information barrier requirements, regulatory obligations, and related internal policies and procedures.
  • Drive the firm's information barrier-cross process and maintain oversight of restricted lists associated with the private investments business.
  • Collaborate with EMEA and APAC Legal and Compliance colleagues to establish a coordinated approach to information controls.
  • Synthesize and organize information, create team reference tools, and assist with enhancing and maintaining team documentation practices.
  • Participate in developing and conducting regulatory training.
  • Support the firm's compliance policies and procedures governance, including revising and drafting of applicable policies and procedures.
  • Support regulatory inquiry and exam management, as appropriate.
Qualifications
  • 2 to 6 years of legal or compliance experience.
  • Bachelor's degree plus professional designation (e.g. CFA) a plus.
  • Experience working at a large investment manager with diverse business lines or in a capacity designing and monitoring information controls is a plus.
  • Experience working at an investment adviser or some working knowledge of (i) Control Room or information barrier practices and/or (ii) the trading rules across multiple jurisdictions/regulatory regimes a plus.
  • Experience leveraging/utilizing technology and/or working closely with IT professionals to solve complex problems is a plus.

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).

  • Compliance Analyst

    1 month 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 Analyst

    4 weeks ago

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

    About the RoleThe 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...

  • Compliance Risk Analyst

    4 weeks 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 Surveillance Analyst

    3 weeks 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

    1 month 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 Officer

    4 weeks 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...

  • Cyber Security Analyst

    4 weeks ago

    New York, New York, United States Intelligent Staffing Full time

    Job Summary:Cyber Security Analyst - Risk and Complianceis responsible for reviewing, monitoring, and resolving security findings within an organization. This role involves conducting risk and vulnerability assessments, validation testing, compliance reviews, and audits following NIST standards. The ideal candidate will have expertise in conducting ISO 27001...

  • Compliance Specialist

    4 weeks ago

    New York, New York, United States ConsultNet Technology Services and Solutions Full time

    Compliance Role OverviewThe Compliance Analyst will work closely with senior Compliance and Legal team members on various compliance matters, including reviewing marketing materials for SEC and FINRA compliance, organizing client communications, performing compliance testing, and assisting with regulatory filings.Key ResponsibilitiesReview marketing...

  • Senior Governance Risk and Compliance Analyst

    4 weeks ago

    New York, New York, United States News Corp Full time

    Job Summary:We are seeking a highly skilled Senior Governance, Risk and Compliance (GRC) Analyst to join our team at News Corp. The successful candidate will have a strong understanding of cyber security control principles, privacy principles, and a sound understanding of global regulatory and compliance requirements.Key Responsibilities: Support the...

  • Compliance Officer

    1 month ago

    New York, New York, United States One Ten Associates Full time

    We are seeking a highly skilled Compliance Officer to join our team at One Ten Associates in New York. This is a broad generalised compliance role with full exposure across the business.The ideal candidate will have buy-side experience, either working within a hedge fund or regulatory consultancy. Strong control room/code of ethics experience is...

  • Compliance Specialist

    3 weeks ago

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

    Job Summary:The Metropolitan Transportation Authority is seeking a highly skilled Compliance Analyst to join its Corporate Compliance Department. As a key member of the team, you will play a critical role in ensuring the organization's compliance with regulatory requirements and internal policies.Key Responsibilities:Conduct research and prepare reports on...

  • Senior Compliance Analyst

    4 weeks ago

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

    Job SummaryThe City of New York is seeking a highly skilled Compliance and Monitoring Coordinator to join its team. This role will be responsible for ensuring compliance with the rules and regulations of City, State, and Federal policies and procedures related to the Homeland Security Grant Program.Key ResponsibilitiesAssist in developing compliance aides...

  • Healthcare Compliance Specialist

    4 weeks ago

    New York, New York, United States Sligo Software Solutions Full time

    Job Title: Healthcare Compliance SpecialistJob Summary:We are seeking a highly skilled Healthcare Compliance Specialist to join our team at Sligo Software Solutions. As a Surveillance Quality Assurance Analyst, you will play a critical role in evaluating the performance of Social Adult Day Cares (SADC) across New York State and their compliance with the Home...

  • Senior Tax Analyst

    4 weeks ago

    New York, New York, United States S&P Global Full time

    About the Role: The Impact: S&P Global is seeking a highly skilled and experienced international tax senior analyst to support the tax department function with duties related to global income tax compliance, financial reporting, and global tax planning. The ideal candidate will have a strong technical knowledge base and related practical experience in...

  • Senior Manager, Code of Ethics Compliance Specialist

    1 month ago

    New York, New York, United States Atlantic Group Full time

    **Job Summary**Atlantic Group is seeking a highly experienced Senior Manager to lead our Code of Ethics Compliance program. The successful candidate will be responsible for managing a small team of analysts, overseeing Code of Ethics disclosures, and enhancing the scale and efficiency of our compliance program.**Key Responsibilities**Manage a team of...

  • Business Analyst IV

    3 weeks ago

    New York, New York, United States Saxon Global Full time

    Saxon Global's Risk and Compliance function is seeking a Business Analyst to support the Head of Risk and Compliance in partnering with stakeholders across the three lines of defense to develop and articulate the company's governance, risk management, and compliance controls framework, strategy, and ecosystem.This role will pursue agreement on a consistent...

  • Insurance Compliance Specialist

    1 month ago

    New York, New York, United States Community Preservation Corporation Full time

    Job SummaryThe Community Preservation Corporation is seeking a highly skilled Insurance Compliance Analyst to join our team. As a key member of our team, you will be responsible for analyzing and monitoring insurance coverage placement in accordance with CPC and Investor guidelines for our commercial real estate loan portfolio.This role will involve...

  • Compliance Risk Specialist

    4 weeks ago

    New York, New York, United States Cover Whale Full time

    Job DescriptionOverviewCover Whale is seeking a part-time Compliance Analyst to support our licensing and regulatory compliance initiatives. This role will collaborate across teams to develop and implement strategies that align with business objectives, ensure compliance with state and federal regulations, and strengthen risk management practices.Key...

  • Risk and Compliance Analyst

    4 weeks ago

    New York, New York, United States American Express Full time

    Role OverviewAs a Compliance and Risk Management Professional at American Express, you will play a critical role in supporting regulatory exams and ensuring the company's compliance with regulatory requirements. This position is part of the Regulatory Exam Lifecycle Management (RELM) team, which is responsible for managing the end-to-end lifecycle of U.S....

  • Regulatory Compliance Specialist

    4 weeks ago

    New York, New York, United States Oscar Health Full time

    About the RoleOscar Health is seeking a highly skilled Senior Regulatory Analyst to join our Legal Operations team. As a key member of our Regulatory Operations team, you will be responsible for project managing and supporting discrete tasks to ensure Oscar's compliance with federal and state health plan requirements.You will work closely with internal teams...