Senior Compliance Analyst, Americas Core Compliance

Wellington Management•Boston, MA

39d•Hybrid

About The Position

POSITION The Compliance Senior Analyst will support Wellington Management’s Americas compliance program, focusing primarily on the rules and regulations governing investment advisers established/operating/registered in the Americas. Key responsibilities of this role include assessing the firm’s compliance programs and implementing enhancements (e.g., to policies, procedures, practices) where necessary, exam management and engagement with business stakeholders on regulatory issues and business change. The Compliance Senior Analyst will be a member of the Americas Core Compliance team within the Legal, Compliance and Risk Group.

Requirements

3+ years of relevant investment adviser compliance experience
Familiarity with Investment Advisers Act, ERISA regulations and other rules and regulations applicable to Wellington Management.
Familiarity with NFA/CFTC regulations and OSC regulation of investment advisers
Global mindset and strong business judgement
Strong written and oral communication skills.
Strong presentation skills and comfort interacting with all levels of management
Ability to synthesize, condense and convey regulatory and policy information to key stakeholders in clear and simple terms
Creativity and ability to work under pressure
Proactive, self-motivated and well-organized
Ability to effectively prioritize tasks, consistently execute and meet strict deadlines

Nice To Haves

Experience developing and implementing technology solutions to strengthen internal processes and controls a plus
Comfortable using technology tools to manage workflows and enhance task efficiency in a fast-paced environment

Responsibilities

Lead key Compliance initiatives, including oversight of the Global Compliance Training Plan, Global Regulatory Risk Assessment, NFA compliance programs, RFP/RFI responses etc.
Review of regulatory rule proposals, amendments, and developments to assist with the evaluation of rules impacting the firm’s business practices
Provide regulatory risk management advice and support to the business (e.g., with respect to policies & procedures, controls, policy exceptions)
Assist with policies and procedures revisions for key risk and compliance areas
Participate in managing and responding to regulatory inquiries and examinations
Recommend enhancements to supervisory processes, internal controls and testing
Collaborate with EMEA and APAC compliance colleagues and the broader Legal, Compliance and Risk Group to drive coordinated outcomes

Benefits

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)