Senior Compliance Analyst

Wellington Management-posted 5 months ago

$80,000 - $180,000/Yr

Full-time • Mid Level

Boston, MA

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The Senior Compliance Analyst will support Wellington Management’s global investment & trading compliance program, focusing primarily on compliance support to trading professionals in equity, fixed income and derivatives markets. The individual will also support elements of the compliance program related to material non-public information, market manipulation, conflicts of interest, and regulatory change. As the firm expands the asset classes, products and geographical footprint of its businesses, as well as its technological capabilities, a key responsibility of the role will be supporting the firm’s compliance procedures and controls in new and evolving areas and implementing enhancements where necessary. The Senior Compliance Analyst will be a member of the Legal, Compliance and Risk Group, report directly to the Global Head of the Public Markets Compliance and work closely with other compliance, legal and risk professionals, as well as investment and trading personnel.

Providing real-time compliance advice and support to trading personnel with respect to policies & procedures, controls, regulatory rules, MNPI, supervision, position limits, etc.
Assessing conflicts and recommending mitigating controls within the investment, order implementation, and trading processes.
Driving the continued evolution of firm’s policies, procedures and other controls relating to investment, order implementation, and trading processes in response to various growth initiatives.
Collaborating with EMEA and APAC compliance colleagues and the broader Legal, Compliance and Risk Group to drive coordinated outcomes.
Developing and maintaining collaborative partnerships with our investors and traders, as well as their managers.
Providing regulatory risk management advice and support to projects and strategic initiatives.
Reviewing regulatory developments and assisting with the evaluation of their impact on our firm.
Advising forensic and compliance testing teams on areas of focus, testing design, special investigations and findings.
Responding to regulatory inquiries and examinations.
Developing and conducting regulatory training, where appropriate.

5+ years of compliance or asset management experience (experience supporting and/or working with capital markets and/or trading processes is preferred).
Familiarity with US regulatory landscape and rules applicable to the capital markets activities of US investment advisers.
Ability to self-start and think creatively.
Strong business judgment and comfort working in a fast-paced environment.
Ability to apply analytical and decision-making skills in a collaborative and growth-oriented business.
Ability to synthesize, condense and convey complex information to key stakeholders in clear, digestible, and simple terms.
Strong interpersonal skills and ability to influence outcomes through collaboration.
Strong written and oral communication skills.
Highly organized and detail oriented with the ability to manage multiple initiatives simultaneously.
Prior success identifying, developing/planning and implementing projects that mitigate risk and lead to improved and scalable workflows.
Experience using data analysis tools and/or other technology solutions to strengthen internal controls is a plus.

Retirement plan
Health and wellbeing coverage
Dental, vision, and pharmacy coverage
Health savings account
Flexible spending accounts
Commuter program
Employee assistance program
Life and disability insurance
Adoption assistance
Back-up childcare
Tuition/CFA reimbursement
Paid time off (leave of absence, paid holidays, volunteer, sick and vacation time)

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