Compliance Analyst

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Wellington Management Company, LLP
  • 19 Apr 19

Compliance Analyst


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 Company

Tracing our roots to 1928, Wellington Management Company, LLP is one of the world's largest independent investment management firms. Managing over $1 trillion of client assets we serve as a trusted adviser to institutional clients and mutual fund sponsors in over 50 countries. Our innovative investment solutions are built on the strength of proprietary, independent research and span nearly all segments of the global capital markets, including equity, fixed income, multi-asset, and alternative strategies. As a private partnership whose sole business is investment management, our long-term views and interests are aligned with those of our clients. We are committed to attracting a talented and diverse workforce, and to fostering an open, collaborative culture of inclusivity because we believe multiple perspectives lead to more informed investment and business decisions. As an Equal Opportunity Employer, we welcome people with diverse life experiences, fresh ideas, and specialised subject-matter expertise.


The Position


We are currently seeking a Compliance professional to act as the London representative within the Global Regulatory Reporting team. The team works to ensure we meet all of the firm's global filing disclosure obligations related to beneficial ownership and aggregate ownership. This position takes the lead responsibility for making time sensitive filings in the Asian and European time zones. Based on past experience, we also expect that the Analyst will take on wider Compliance responsibilities as the circumstances for their prime responsibility permits.

The position will report directly to the Chief Compliance Officer of Wellington Management International Ltd and will work closely with the Regulatory Reporting team in the US.


•Analyse and report on the firm's major shareholding reporting requirements. Analyst is responsible for determining if a filing is required, and completing the filing obligations at all applicable thresholds.

•Coordinate with internal and external legal counsel to understand, review, and update beneficial ownership reporting requirements and develop procedures and workflows to comply with evolving regulations with a focus on European and Asia n requirements.

•Manage and build strong relationships with our aggregate ownership reporting application vendor.

•Gather market intelligence on upcoming new or changing filing requirements and be positioned to adhere by developing new reporting requirements and designing procedures with our major shareholding application vendor and internal IT Team.     

•Responsible for implementation and control of enterprise wide ownership limit setting in accordance with firm's aggregate ownership policy.

•Critically evaluate requests regarding aggregate ownership limits by effectively gathering and analysing key variables.

•Additional responsibilities within the Compliance team as circumstances dictate (e.g. Financial Crime, Marketing, Testing, New regulations, Code of Ethics etc).


•The candidate should display sound business judgment in creating and implementing creative business solutions to complex issues in a compliance-reporting context.

•The candidate should be self-confident, energetic, have an inquisitive mind, and be controls conscious. 

•Strong organisational skills, an ability to manage assignments with competing priorities with tight deadlines, excellent communication skills, and the ability to work both independently and as a member of a team are critical. 

•Attention to detail and computer literacy (knowledge of Word, Excel, and similar tools) are important, as is the desire to learn our aggregate beneficial ownership system, firm data structure, and other reporting tools.

•A strong working knowledge of long, short, and takeover filing obligations is a plus.  As is an understanding of corporate structures, business analytics, data hierarchy and prior experience analysing, monitoring, and filing reports. 

•Strong academic credentials.

•The candidate is likely to have of relevant professional experience, gained within the Financial Services industry (ideally within regulatory reporting/filings).

Compliance Analyst



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 .