Compliance Analyst

Wellington Management Company, LLP
Boston, USA
May 16, 2019
Jun 12, 2019
Job Function
Industry Sector
Finance - General
Employment Type
Full Time

Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 50 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients.


The Compliance Analyst will support Wellington Management's core regulatory compliance program. The Compliance Analyst will be a member of the Legal and Compliance Group and will report to the Manager of Core Regulatory Compliance.


The Compliance Analyst's principal responsibilities will include the following:
  • Supporting Wellington's compliance program for core (firm wide) regulatory risk areas, including those that pertain to ERISA, Investment Company Act of 1940, National Futures Association, Custody, Whistle-blower, records retention
  • Supporting the Wellington Management regulatory risk assessment; Coordinating risk assessment process with relevant subject matter experts, Legal Department, business and operational risk professionals
  • Managing the firm's policies and procedures
  • Participating in developing and conducting regulatory training, where appropriate
  • Coordinating enhancements to supervisory processes, internal controls and internal testing
  • Responding to regulatory inquiries or examinations, as appropriate
  • Collaborating with EMEA and APAC compliance colleagues and Operational Risk professionals to drive coordinated outcomes
  • Participate in project management of key Legal and Compliance Group initiatives, including the development of a governance, risk management and compliance framework

  • 5+ years of compliance or relevant investment adviser experience. Bachelor's degree plus J.D. or professional designation (e.g. CFA) a plus
  • Familiarity with Investment Advisers Act, National Futures Association and other rules and regulations applicable to Wellington Management
  • Strong business judgment
  • Global mindset
  • Excellent written and oral communication skills. Strong presentation skills and comfort presenting in large groups
  • Ability to synthesize, condense and convey complex regulatory and policy information to key stakeholders in clear and simple terms
  • Ability to apply analytical and decision-making skills in a collaborative and fast-paced environment
  • Strong understanding of and experience with data analysis tools
  • Creativity and ability to work under pressure
  • Ability to manage multiple initiatives simultaneously; Proactive, self-motivated and well-organized
  • Experienced and driven project manager; comfort with project management software

Compliance Analyst


280 Congress

As an equal opportunity employer, Wellington Management considers all qualified applicants will receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law. If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at .