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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 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.
We are seeking a compliance professional with deep regulatory experience in trading and portfolio management who can apply that experience in a practical and, where appropriate, pragmatic manner to join our Asia Pacific Compliance team. Based in Hong Kong, this individual will report to the Chief Compliance Officer for Asia Pacific (CCO). The role will work closely with other compliance professionals and lawyers across the global organisation.
Responsibilities The Compliance Officer's primary responsibilities will include the following:
Provide real-time regulatory advice and compliance support to the trading team with respect to order aggregation, trade allocation, cross trades, best execution, electronic trading, conflicts, and other relevant regulatory requirements and internal policies and procedures
Provide timely regulatory advice to the corporate access and research services team, as well as investment personnel on investment research inputs, expert networks, conflicts, and other relevant regulatory requirements and internal policies and procedures
Cover the MNPI hotline
Conduct ongoing compliance monitoring of trading and portfolio management activities
Assess conflicts and recommend mitigating controls within the trading and investment processes
Advise and support management teams to achieve robust supervisory oversight
Develop and conduct regulatory training
Analyse capital markets related regulatory developments and establish responses commensurate with our risk appetite
Handle regulatory enquiries on trading and investment activities, and support inspections, audits, and client due diligence requests
Participate in a variety of department or firm-wide project-based initiatives and working groups
At least 10 years of compliance experience, including a strong preference for experience supporting trading and portfolio management activities
Familiarity with the Hong Kong regulatory requirements applicable to the activities of a central dealing desk
Working knowledge of regulatory requirements applicable to accessing the mainland China capital markets as foreign investors; experience across multiple jurisdictions/regulatory regimes a plus
Strong ethics, professional judgment and maturity
Proactivity, self-motivation and organisation skills
Confidence for making risk-balanced judgements
Ability to influence outcomes through collaboration and well-defined advice
Ability to synthesize, condense and convey complex regulatory and policy information to key stakeholders in clear, digestible and simple terms
Strong written and verbal communication skills
Creativity and ability to work under pressure
Ability to read and speak Mandarin a plus
JOB TITLE Compliance Officer (Capital Markets)
LOCATION Hong Kong
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 . 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 .