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.
The Compliance Analyst will support the Forensics program which seeks to proactively detect regulatory/legal violations, firm policy breaches, and other inappropriate behavior through security screening, trade analysis, and e-discovery. The Compliance Analyst will be a member of the Legal and Compliance Group working under the direction of the Compliance Manager and with other compliance analysts and attorneys.
The Compliance Analyst's responsibilities will include the following:
Conduct testing and surveillance of firm activity using forensic testing methodologies, such as data analytics and patterned-based testing
Analyze testing results to confirm consistency with the firm's compliance policies, procedures and controls and to identify activity falling outside of those controls
Monitor electronic communications for potential suspicious activity and escalate results accordingly
Coordinate reporting and escalation of items arising from testing and eCommunications surveillance
Support enhancements to testing and surveillance tools and applications by coordinating with Information Technology
Support initiatives to enhance current forensic testing and surveillance and identify additional testing to address the firm's regulatory and compliance risks
Participate in department or firm-wide project based initiatives
The successful candidate will possess the following qualifications:
College undergraduate degree with 5-7 years of compliance-related experience
Significant experience with regulatory forensic testing and surveillance techniques, with a specific focus on the asset management industry preferred
Deep Knowledge of asset management compliance program related rules and regulations
Strong working knowledge and interest in financial markets, key asset classes, security and relevant investment adviser regulations
Inquisitive mindset - appropriate level of skepticism and curiosity
Strong analytical and problem solving skills
Highly comfortable with data
Highly-organized and detail-oriented; demonstrated planning and organizational skills
Ability to manage multiple initiatives simultaneously
Strong written and oral communication/presentation skills
Knowledge/familiarity with compliance-related technologies
Capable of instilling confidence with senior management and legal team
JOB TITLE Compliance Analyst
JOB FAMILY Compliance
LOCATION 280 Congress
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: 6126259
About Wellington Management Company, LLP
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