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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 Description We seek a professional with good foundational Compliance experience in the financial services industry to join the Asia Pacific Compliance team. Based in Hong Kong, the Compliance Analyst will report to the Compliance Officer for Hong Kong. This role will work with the APAC Legal and Compliance team to provide advice and support to the client facing teams in their sales and distribution activities in the region. Responsibilities Responsibilities will include the following:
Providing advice and support to personnel with respect to allowable distribution and marketing activities in Asia-Pac.
Review of marketing materials used in the Asia Pacific ex-Japan region
Working with the global Marketing Compliance teams to establish and implement policies and procedures
Participating in regulatory training
Coordinating enhancements to supervisory processes and internal controls as required
Provide assistance as needed to compliance testing of sales and marketing activities
Participating in Legal and Compliance Group initiatives pertaining to the firm's sales and marketing activities
The individual may also be involved in the following:
Participation in department or firm-wide project-based initiatives
Cross coverage for colleagues as appropriate
At least 5 years of compliance experience, preferably including experience working for another blue chip investment management firm
Experience with reviewing marketing materials for Asia-Pac jurisdictions. Experience with reviewing retail marketing materials would be viewed favorably
Be self-motivated, enthusiastic and intellectually curious
Exceptional organisational skills: ability to effectively prioritise tasks, produce consistently accurate work and meet strict deadlines
Strong communication and interpersonal skills
Team-oriented: ability to apply analytical and decision-making skills in a collaborative environment
Strong academic credentials
Chinese language skills are required (Other Asian languages will also be considered)
JOB TITLE Compliance Analyst
JOB FAMILY Compliance
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 .