Compliance Analyst

Wellington Management Company, LLP
Boston, USA
Jun 09, 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 the advancement of process and technology intensive areas of the Compliance Program. In addition, the Compliance Analyst will support the Compliance Officer in the build-out of second line of defense programs to advise and challenge areas of the business with inherent technology and data risk. The Compliance Analyst will be a member of the Legal and Compliance Group and will report to the Compliance Officer for Systems Oversight and Monitoring.

The Compliance Analyst's principal responsibilities will include the following:
  • Supporting process, system and data dependent elements of the Compliance program ( e.g., Code of Ethics, Regulatory Reporting) including the advancement of an operationally efficient program and an enhanced control environment
  • Collaborating with EMEA and APAC compliance colleagues, Operational Risk, and Internal Audit to drive coordinated outcomes in the above areas
  • Support other key Legal and Compliance Group initiatives, including providing advice and effective challenge to the business in technology and data risk areas, such as Model Risk, Information Security Risk, and Alternative Data Risk
  • Developing and conducting regulatory training to the business in the areas described above
  • Responding to regulatory inquiries or examinations in these areas, as appropriate

  • 3-5 years of experience with operational, compliance, or business controls for an investment advisor
  • Bachelor's degree in Finance, Economics, Mathematics, Operations, Computer Science or Information Systems; MBA, Masters, or a professional designation ( e.g., CFA) is a plus
  • Experience in process optimization and development of controls in areas with significant information systems
  • Strong understanding of and experience with control framework for technology and data dependent areas of the business
  • Excellent organizational skills with the ability to prioritize, exercise strong business judgment and work under pressure
  • Ability to influence outcomes through collaboration and well-defined advice to the business
  • Strong analytical problem solving skills
  • Global mindset
  • Ability to synthesize, condense and convey regulatory and policy information to key stakeholders in clear and simple terms

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 .