CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
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.
POSITION POSITION OVERVIEW The Compliance Analyst will support the advancement of process and technology intensive areas of the Compliance Program. In addition, the Compliance Analyst will support the Compliance Officer in the build-out of second line of defense programs to advise and challenge areas of the business with inherent technology and data risk. The Compliance Analyst will be a member of the Legal and Compliance Group and will report to the Compliance Officer for Systems Oversight and Monitoring.
RESPONSIBILITIES The Compliance Analyst's principal responsibilities will include the following:
Supporting process, system and data dependent elements of the Compliance program ( e.g., Code of Ethics, Regulatory Reporting) including the advancement of an operationally efficient program and an enhanced control environment
Collaborating with EMEA and APAC compliance colleagues, Operational Risk, and Internal Audit to drive coordinated outcomes in the above areas
Support other key Legal and Compliance Group initiatives, including providing advice and effective challenge to the business in technology and data risk areas, such as Model Risk, Information Security Risk, and Alternative Data Risk
Developing and conducting regulatory training to the business in the areas described above
Responding to regulatory inquiries or examinations in these areas, as appropriate
3-5 years of experience with operational, compliance, or business controls for an investment advisor
Bachelor's degree in Finance, Economics, Mathematics, Operations, Computer Science or Information Systems; MBA, Masters, or a professional designation ( e.g., CFA) is a plus
Experience in process optimization and development of controls in areas with significant information systems
Strong understanding of and experience with control framework for technology and data dependent areas of the business
Excellent organizational skills with the ability to prioritize, exercise strong business judgment and work under pressure
Ability to influence outcomes through collaboration and well-defined advice to the business
Strong analytical problem solving skills
Ability to synthesize, condense and convey regulatory and policy information to key stakeholders in clear and simple terms
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: 5857347
About Wellington Management Company, LLP
eFinancialCareers is a career site specializing in financial services.