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 60 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.
We are transitioning to a hybrid work environment where both remote work and the office play a critical role. Our vision is a future where all employees are empowered to work flexibly to drive the best outcomes for our clients. Flexible work is a mindset and a core value. Our employees are encouraged to work remotely two days a week as a standard practice and will have flexibility in terms of working hours. POSITION
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 55 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. 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 specialized subject-matter expertise.
The Compliance Officer will support Wellington Management's private investments compliance program, covering regulatory matters relating to the firm's private equity funds and other private investment vehicles sponsored by our affiliates. The Compliance Officer will be a member of the Legal and Enterprise Risk Group and will report to the Private Investments Chief Compliance Officer, working closely with other compliance professionals and attorneys.
The Compliance Officer's primary responsibilities will include the following:
- Provide real-time regulatory risk management advice and support to Wellington's private investments personnel with respect to policies & procedures, controls, policy exceptions, regulatory rules
- Collaborate with EMEA and APAC compliance colleagues to drive coordinated outcomes
- Establish, maintain, and administer private investment compliance policies and procedures, risk assessment and conflict register
- Work with relevant management teams to identify potential conflicts of interest and risks to ensure robust supervisory processes and controls
- Review regulatory rule proposals, amendments and regulatory developments and assist with the evaluation of a rule's impact on business practices
- Identify compliance control and/or procedural gaps and work to solve
- Take ownership of various compliance projects or initiatives, working with relevant stakeholders to facilitate design of pragmatic solutions, and to ensure that implementation of compliance controls occurs as intended
- Develop and conduct regulatory training
- Advise the compliance testing team on the design and implementation of the compliance monitoring program and undertake compliance testing and monitoring when appropriate; develop testing cadence and documentation and disseminate results as necessary
- Participate in a variety of department or firm-wide project-based initiatives and working groups
SKILLS JOB TITLE
- 8+ years of experience, including a strong preference for experience working in a capacity supporting or working with private equity and/or private credit
- Bachelor's degree plus J.D. or professional designation (e.g., CFA) a plus
- Familiarity with global regulatory regimes in Americas, EMEA and APAC regions applicable to Wellington Management
- Ability to prioritize, organize, initiate, respond; self-starter to identify gaps and work towards creating pragmatic solutions
- Ability to synthesize, condense and convey complex regulatory and policy information, as well as compliance risk and mitigant rational, to key stakeholders in clear and simple terms
- Ability to apply risk-balanced analytical and decision-making skills in a collaborative and fast-paced environment
- Ability to influence outcomes through collaboration and well-defined advice
- Results oriented, as demonstrated by a track record in identifying issues and resolving problems
- Excellent writing skills; experience drafting policies and legal documents a plus
- Excellent oral communication and presentation skills
- Excellent interpersonal skills and an ability to work both independently and as a member of a team
Compliance Officer LOCATION
As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal 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 GMCANINQ@wellington.com .