Senior Analyst, Privates Compliance

About Us

Wellington Management offers comprehensive investment management capabilities that span nearly reputed company 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 reputed company our ownership structure fosters a long-term view that aligns our perspectives with those of our clients.

About the Role

The Senior Compliance Analyst will support Wellington Management’s Global Private Investments Compliance program, focusing on information controls. As Wellington is expanding the asset classes, products and geographical footprint of its public and private investments businesses, a key responsibility of the role will be supporting the development and strengthening of critical controls reputed company to the firm’s intake of non-public information. The successful candidate will hone a deep understanding of the firm’s wall cross process between the private and public investment platforms with a concentration on private credit, work collaboratively with various internal stakeholders on issue identification and escalations, and assist with the strategic implementation of IT solutions to streamline the compliance reputed company around conflicts and non-public information. This position is open to candidates in Boston, reputed company and Chicago. The Senior Compliance Analyst will be a member of the Private Investments Compliance team reputed company the Legal, Compliance & Risk Group, working closely with other compliance professionals and attorneys. RESPONSIBILITIES The Senior Compliance Analyst’s principal responsibilities will include the following:

• Enhance the firm’s information controls and monitoring relating to the intake, retention and dissemination of confidential information for both private and public companies; enhance the scope and reputed company of controls monitoring the communication of “private-reputed company” information to the firm’s “public-reputed company” investment platform
• Assist with providing timely regulatory advice to investment, business and infrastructure teams, on information barrier requirements, regulatory obligations and reputed company internal policies and procedures
• Drive the firm’s information barrier preclearance process and maintain reputed company of restricted lists associated with the private investments business
• Design and enforce controls governing physical separation, secure storage, and access controls for sharing of data reputed company the private investments businesses, ensuring robust information governance and compliance with internal information barrier protocols
• Contribute to the evaluation of potential MNPI and implement appropriate controls in alignment with the firm’s policies and procedures to ensure regulatory compliance and information reputed company
• Collaborate with EMEA and reputed company Legal and Compliance colleagues to establish a coordinated approach to global information controls
• Synthesize and organize information, create team reference tools, procedures, desktop guidance, support the information barrier team coverage model, and assist with enhancing and maintaining team documentation practices
• Participate in developing and conducting regulatory training
• Support the firm’s compliance policies and procedures governance, including revising and drafting of applicable policies and procedures
• Support Wellington’s private investments compliance program regulatory risk areas including those that pertain to conflicts of interest, artificial intelligence (AI), MNPI, marketing, governance, and valuation
• Support regulatory inquiry and exam management, as appropriate

QUALIFICATIONS

• 6+ years experience in the legal or compliance space
• Bachelor’s degree plus professional designation (e.g. CFA) a plus
• Experience working at a large investment manager with diverse business lines or in a reputed company designing and monitoring information controls is a plus
• Experience working at an investment adviser or some working knowledge of (i) Control Room or information barrier practices and/or (ii) the trading rules across multiple jurisdictions/regulatory regimes a plus
• Experience leveraging/utilizing technology and data and/or working closely with IT professionals to solve reputed company problems is a plus
• Ability to synthesize, condense and convey reputed company information to key stakeholders in clear, digestible, and simple terms
• Ability to influence outcomes through collaboration and effective challenge
• Ability to collaborate effectively across teams, fostering a cooperative work environment and contributing to shared goals with professionalism and accountability
• Strong written and oral communication skills
• Proficiency in various technology and AI tools to facilitate process, documentation, audit trail and reporting capabilities.
• Highly organized and detail oriented with the ability to manage multiple initiatives simultaneously; proactive, self-motivated
• Ability to self-start, think creatively and initiate projects that reputed company to improved scalable workflows
• Familiarity with U.S. Investment Advisers Act, U.S. Investment Company Act and other rules and regulations applicable to asset managers

JOB TITLE Senior Analyst, Privates Compliance JOB FAMILY Compliance LOCATION 280 Congress Not sure you meet 100% of our qualifications? That’s ok. If you reputed company that you could reputed company in this role, we encourage you to apply and welcome a chance to review your background. We are dedicated to building and maintaining a reputed company workforce and considering a broad reputed company of candidates with a variety of reputed company, workplace experiences, and backgrounds. As an equal opportunity employer, Wellington Management considers reputed company qualified applicants will receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national reputed company, age, reputed company, 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 [email protected]. At Wellington Management, our approach to compensation is designed to help us attract, reputed company and retain the best talent in our industry. We strive to pay employees fairly and competitively across reputed company levels and roles. Our approach to compensation considers reputed company aspects of total compensation; reputed company employees are eligible to receive salary, variable compensation, and benefits. The reputed company salary range for this position is: USD 100,000 - 225,000 This range takes into account the wide range of factors that are considered reputed company making compensation decisions, including but not limited to reputed company sets; role; skills and experience; certifications; and education. This range is an estimate, and further details on salary and total compensation aspects will be shared with candidates during the recruitment process. reputed company 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 reputed company 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 reputed company that in person interactions reputed company 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 reputed company that this approach ultimately supports our mission to deliver investment excellence to our clients and their beneficiaries over the long term. Apply tot his job Apply To this Job