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.
We are seeking to hire a professional to support our global testing programs.The individual will conduct testing under the Global Testing program, which seeks to assess compliance with and detect violations of policy, regulation and law in support of the firm's global compliance programs. The Compliance Analyst will be a member of the Legal and Compliance Group reporting directly to the Capital Markets Compliance Manager based in London and indirectly to the Compliance Manager of the Global Testing program in Boston. The prime responsibility will be to conduct testing activity, though there may also be opportunities for this role to take on additional responsibilities within our wider compliance team. Based in London, we expect that the Compliance Analyst will work closely with Compliance and Legal colleagues in several of our global offices.
The position's primary responsibilities include, but may not be limited to:
Conduct testing of the firm's compliance with policies, regulations or other requirements for areas identified by the firm's global testing plan
In executing compliance testing, lead the planning for, design of and execution of test procedures
Analyze test results, draw conclusions and communicate them to business representatives and other constituents
Conduct ad-hoc compliance reviews
Support initiatives to enhance global testing processes
Coordinate and collaborate with local testing resources in support of regional or entity level compliance programs
Participate in department or firm-wide project based initiatives
Cross coverage of colleagues as appropriate
The successful candidate will possess the following qualifications:
Strong academic credentials with good knowledge of the financial regulations applicable to the asset management industry, with an emphasis on FCA and MiFID II regulation.
Strong working knowledge and interest in financial markets, key asset classes, security and relevant investment adviser regulations
Self-confident and energetic, the candidate will need an inquisitive mindset with an appropriate level of skepticism and curiosity
Strong analytical and problem solving skills
Comfortable with data
Highly-organized and detail-oriented; demonstrated planning and organizational skills
Creativity and ability to work under pressure
Ability to work independently and manage assignments with competing priorities
Strong written and oral communication/presentation skills
Capable of instilling confidence with senior management and legal team
JOB TITLE Compliance Analyst
JOB FAMILY Compliance
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 GMCANINQ@wellington.com .
Internal Number: 6612247
About Wellington Management Company, LLP
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