Senior Compliance Analyst, Americas Core Compliance

About the position POSITION The Compliance Senior Analyst will support Wellington Management’s Americas compliance program, focusing primarily on the rules and regulations governing investment advisers established/operating/registered in the Americas. Key responsibilities of this role include assessing the firm’s compliance programs and implementing enhancements (e.g., to policies, procedures, practices) where necessary, exam management and engagement with business stakeholders on regulatory issues and business change. The Compliance Senior Analyst will be a member of the Americas Core Compliance team within the Legal, Compliance and Risk Group.

Responsibilities

• Lead key Compliance initiatives, including oversight of the Global Compliance Training Plan, Global Regulatory Risk Assessment, NFA compliance programs, RFP/RFI responses etc.
• Review of regulatory rule proposals, amendments, and developments to assist with the evaluation of rules impacting the firm’s business practices
• Provide regulatory risk management advice and support to the business (e.g., with respect to policies & procedures, controls, policy exceptions)
• Assist with policies and procedures revisions for key risk and compliance areas
• Participate in managing and responding to regulatory inquiries and examinations
• Recommend enhancements to supervisory processes, internal controls and testing
• Collaborate with EMEA and APAC compliance colleagues and the broader Legal, Compliance and Risk Group to drive coordinated outcomes

Requirements

• 3+ years of relevant investment adviser compliance experience
• Familiarity with Investment Advisers Act, ERISA regulations and other rules and regulations applicable to Wellington Management.
• Familiarity with NFA/CFTC regulations and OSC regulation of investment advisers
• Global mindset and strong business judgement
• Strong written and oral communication skills.
• Strong presentation skills and comfort interacting with all levels of management
• Ability to synthesize, condense and convey regulatory and policy information to key stakeholders in clear and simple terms
• Creativity and ability to work under pressure
• Proactive, self-motivated and well-organized
• Comfortable using technology tools to manage workflows and enhance task efficiency in a fast-paced environment
• Ability to effectively prioritize tasks, consistently execute and meet strict deadlines

Nice-to-haves

• Experience developing and implementing technology solutions to strengthen internal processes and controls a plus

Benefits

• At Wellington Management, our approach to compensation is designed to help us attract, inspire and retain the best talent in our industry. We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary, variable compensation, and benefits.
• Base salary is only one component of Wellington’s total compensation approach. Other rewards may include a discretionary Corporate Bonus and/ or Incentives, if eligible. In addition, 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).
• We believe that in person interactions inspire and energize our community and are essential to our culture. In support of this commitment, our employees work from our offices 4 days a week with flexibility to work remotely 1 day a week. We believe that this approach ultimately supports our mission to deliver investment excellence to our clients and their beneficiaries over the long term.

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