Compliance Analyst, Enhanced Monitoring Team recruitment

Position Description:

The Company

Wellington Management is one of the world's premier investment management organisations. We are a global, privately owned firm that is 100% focused on managing money for institutional investors and mutual fund sponsors. We are headquartered in Boston with ten affiliate offices in the United States and around the world.

We have a diversified, balanced, and growing business. Our clients are based in over 40 countries - more than one third of them are domiciled outside the US - and in total they have entrusted us to manage over US$650 billion of their assets. On their behalf we manage portfolios focusing on equity, fixed income, currencies, commodities, real assets, and active asset allocation, including hedge fund portfolios.

Overview

We are currently looking for a compliance professional that will support the program for the testing, surveillance and monitoring of current and emerging regulatory compliance risks that arise in the ordinary course of our business. This program is focused on surveillance for potential insider trading.

The Analyst will report to the Chief Compliance Officer, London, with functional direction provided by the Manager of the team in Boston.

Responsibilities

Responsibilities will include the following:

•Core role in the preparation and analysis of trading data for suspicious activities
•Coordinate follow up, escalation and reporting of items arising from surveillance, testing and other compliance oversight activities
•Helping to identify and assess regulatory compliance risks and develop programs to test these risks
•Conduct periodic testing and monitoring reviews of various compliance related processes and controls
•Assist with regulatory compliance oversight of non-US portfolio management, trading

The individual will also be involved in the following;
• Supporting the Compliance Programs outside the US
• Participation in department or firm wide project based initiatives
• Cross coverage for colleagues as appropriate

Qualifications

•Relevant Compliance experience, including a strong preference for experience working at an institutional investment manager
•Strong working knowledge and interest in financial markets, key asset classes and security types is essential
•Strong compliance knowledge, particularly as it relates to surveillance and monitoring techniques
•Forensic and data analysis skills
•Strong academic credentials
•Good business judgment
•Creativity and ability to work under pressure
•Ability to work independently as well as in a team environment

Please note that we are only able to respond to successful candidates.