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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 OVERVIEW The Investment Compliance Analyst ("The Analyst") will be part of the Portfolio Guideline Monitoring and Portfolio Integrity Team within Portfolio Services. Portfolio Services provides each of Wellington's investment teams with the data, controls, and support they need to ensure that their investment intent is accurately reflected in accordance with client regulatory and operational requirements. Other teams within Portfolio Services include Portfolio Implementation, Portfolio Data, Portfolio Service Management, Performance and Portfolio Accounting.
RESPONSIBILITIES Primary responsibilities:
The Analyst will focus on providing support to investment teams, to ensure that investment transactions and holdings are compliant with client guidelines and regulatory requirements;
The Analyst will be part of the team that i) Reviews Investment Management Agreements, evaluates client guidelines, and maintains the guideline monitoring system, Sentinel, ii) performs real-time, pre-trade support with investors, and iii) resolves post-trade incident exceptions generated from Sentinel;
The Analyst will work collaboratively with other Guideline Monitoring Analysts, as well as other internal teams, specifically our Global Relationship Teams, Product Management and Portfolio Management, to develop a deep understanding of investment strategies relative to client guidelines and regulatory requirements.
QUALIFICATIONS The successful candidate for this position is likely to:
Demonstrate a strong working knowledge of all investment types, including equity and fixed income products, and derivative instruments;
Prior experience monitoring investment guidelines, working in an investment compliance role, understanding regulatory requirements for 40 Act and UCITs funds, and coding investment restrictions into a vendor or proprietary compliance monitoring system, specifically Sentinel, would be advantageous;
Be self-confident, a self-starter, results driven, energetic, have an inquisitive mind, and be controls conscious;
Have strong organizational skills, an ability to manage assignments with competing priorities, excellent communication skills, and the ability to work both independently and as a member of a team;
Have strong attention to detail and computer literacy (knowledge of Word, Excel, and similar tools).
JOB TITLE Investment Compliance Analyst
JOB FAMILY Portfolio Services
LOCATION Hong Kong
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 .