Compliance Specialist for Investment Funds
5 days ago
Wellington Management Company, LLP offers a comprehensive range of investment management services that cater to the diverse needs of institutional clients across the globe. With a robust body of proprietary research and a collaborative culture that fosters independent thought and healthy debate, our investment solutions are designed to help clients achieve their unique return and risk objectives.
We operate as a private partnership, which enables us to take a long-term view that aligns our perspectives with those of our clients. This approach allows us to maintain a diversified workforce and consider a broad array of candidates with various skill sets, workplace experiences, and backgrounds.
The RoleWe are seeking an experienced Compliance Officer to support our compliance program, focusing on the rules and regulations governing US registered investment companies. As we expand our activities in this area, the successful candidate will play a key role in assessing our compliance infrastructure and implementing enhancements where necessary.
The Compliance Officer will be part of our Legal, Compliance & Risk Group and report to the Head of Investment Platform Compliance, Americas, working closely with other compliance professionals and attorneys.
Key Responsibilities- Develop and maintain Wellington's Investment Company Act compliance program, providing ongoing support for our growing mutual fund business.
- Provide regulatory risk management advice and support, including policies & procedures, controls, and policy exceptions, regulatory rules, supervision, etc.
- Review Investment Company-related regulatory rule proposals, amendments, and developments and 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.
- A minimum of 8 years of relevant investment adviser and investment company compliance experience, preferably including interval fund and ETF compliance.
- Familiarity with the Investment Advisers Act and other rules and regulations applicable to Wellington Management.
- Ability to self-start and think creatively.
- Strong business judgment and global mindset.
- Excellent written and oral communication skills, with the ability to present complex information to senior stakeholders.
- Ability to synthesize and convey complex regulatory and policy information in clear and simple terms.
- Capacity to influence outcomes through collaboration and well-developed advice.
- Prior success in identifying, developing, and implementing projects that mitigate risk and lead to improved and scalable workflows.
- Experience using data analysis tools and/or technology solutions to strengthen internal controls is a plus.
The base salary for this position ranges from $100,000 to $225,000 per year, depending on qualifications and experience. Our total compensation approach considers all aspects of employee remuneration, including salary, variable compensation, and benefits. We strive to pay employees fairly and competitively across all levels and roles.
BenefitsWe offer a comprehensive benefit package to meet the unique needs of our employees and their families, including retirement plan, health and wellbeing, dental, vision, and pharmacy coverage, health savings account, flexible spending accounts, 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).
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