Wellington Management
Senior Compliance Analyst, Americas Core Compliance
Wellington Management, Boston, Massachusetts, us, 02298
Senior Compliance Analyst, Americas Core Compliance
Apply for the Senior Compliance Analyst, Americas Core Compliance role at Wellington Management
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 include assessing the firm’s compliance programs and implementing enhancements, exam management and engagement with business stakeholders on regulatory issues and business change.
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 regulatory rule proposals, amendments, and developments and evaluate their impact on business practices.
Provide regulatory risk management advice and support to the business (e.g., policies & procedures, controls, policy exceptions).
Assist with policy and procedure 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.
Qualifications
3+ years of relevant investment adviser compliance experience.
Familiarity with Investment Advisers Act, ERISA regulations and other rules applicable to Wellington Management.
Familiarity with NFA/CFTC regulations and OSC regulation of investment advisers.
Global mindset and strong business judgment.
Strong written and oral communication skills; 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.
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.
Ability to effectively prioritize tasks, consistently execute and meet strict deadlines.
Benefits Wellington Management offers a compensation package that includes salary, variable compensation, and benefits. The base salary range for this position is USD 80,000 – 150,000. Other rewards may include a discretionary Corporate Bonus and/or Incentives if eligible. The benefits package includes retirement plan, health and wellbeing, dental, vision, 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 and paid time off (leave of absence, paid holidays, volunteer, sick and vacation time). Employees work from offices 4 days a week with flexibility to work remotely 1 day a week.
Seniority level Mid‑Senior level
Employment type Full‑time
Job function Legal
Equal Employment Opportunity Wellington Management is an equal‑opportunity employer. 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, 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 GMWTalentOperations@wellington.com.
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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 include assessing the firm’s compliance programs and implementing enhancements, exam management and engagement with business stakeholders on regulatory issues and business change.
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 regulatory rule proposals, amendments, and developments and evaluate their impact on business practices.
Provide regulatory risk management advice and support to the business (e.g., policies & procedures, controls, policy exceptions).
Assist with policy and procedure 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.
Qualifications
3+ years of relevant investment adviser compliance experience.
Familiarity with Investment Advisers Act, ERISA regulations and other rules applicable to Wellington Management.
Familiarity with NFA/CFTC regulations and OSC regulation of investment advisers.
Global mindset and strong business judgment.
Strong written and oral communication skills; 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.
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.
Ability to effectively prioritize tasks, consistently execute and meet strict deadlines.
Benefits Wellington Management offers a compensation package that includes salary, variable compensation, and benefits. The base salary range for this position is USD 80,000 – 150,000. Other rewards may include a discretionary Corporate Bonus and/or Incentives if eligible. The benefits package includes retirement plan, health and wellbeing, dental, vision, 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 and paid time off (leave of absence, paid holidays, volunteer, sick and vacation time). Employees work from offices 4 days a week with flexibility to work remotely 1 day a week.
Seniority level Mid‑Senior level
Employment type Full‑time
Job function Legal
Equal Employment Opportunity Wellington Management is an equal‑opportunity employer. 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, 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 GMWTalentOperations@wellington.com.
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