Wellington Management
Senior Analyst, Privates Compliance
Wellington Management, Chicago, Illinois, United States, 60290
About Us
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 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 believe 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 related 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 framework around conflicts and non-public information. This position is open to candidates in Boston, New York and Chicago. The Senior Compliance Analyst will be a member of the Private Investments Compliance team within the Legal, Compliance & Risk Group, working closely with other compliance professionals and attorneys. RESPONSIBILITIES 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 integrity of controls monitoring the communication of “private-side” information to the firm’s “public-side” investment platform Assist with providing timely regulatory advice to investment, business and infrastructure teams, on information barrier requirements, regulatory obligations and related internal policies and procedures Drive the firm’s information barrier preclearance process and maintain oversight 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 outside 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 integrity Collaborate with EMEA and APAC 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 capacity 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 complex problems is a plus Ability to synthesize, condense and convey complex 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 lead 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 We are an equal opportunity employer and welcome applications from all qualified candidates. As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal 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. The base salary range for this position is: USD 100,000 - 225,000. 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 thrive personally and professionally.
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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 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 believe 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 related 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 framework around conflicts and non-public information. This position is open to candidates in Boston, New York and Chicago. The Senior Compliance Analyst will be a member of the Private Investments Compliance team within the Legal, Compliance & Risk Group, working closely with other compliance professionals and attorneys. RESPONSIBILITIES 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 integrity of controls monitoring the communication of “private-side” information to the firm’s “public-side” investment platform Assist with providing timely regulatory advice to investment, business and infrastructure teams, on information barrier requirements, regulatory obligations and related internal policies and procedures Drive the firm’s information barrier preclearance process and maintain oversight 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 outside 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 integrity Collaborate with EMEA and APAC 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 capacity 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 complex problems is a plus Ability to synthesize, condense and convey complex 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 lead 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 We are an equal opportunity employer and welcome applications from all qualified candidates. As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal 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. The base salary range for this position is: USD 100,000 - 225,000. 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 thrive personally and professionally.
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