Investement Compliance Manager recruitment

Position Description:

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.
Job Description
We are currently recruiting for an Investment Compliance Manager to work in London office. The Investment Compliance Manager will work with portfolio management, relationship management, operations, others in Legal and Compliance, and others across the firm on key aspects of the intake of client accounts.

The Investment Compliance Manager will be primarily responsible for the implementation of guideline coding for new accounts, revisions, and updates to existing accounts in a timely manner. The Compliance Manager will also lead a team of analysts tasked with ensuring that the daily monitoring of the team's accounts is complete, with issues properly identified for resolution. The Compliance Manager will also be the first point of escalation for resolution of potential compliance breaches.

The Compliance Manager will work collaboratively with other Compliance Managers to develop and execute the agenda of the overall Investment compliance team, including areas such as process improvement, system enhancements, and globalization. He/she will display sound business judgment in driving results and creating and implementing creative business solutions to complex compliance issues.

Job Qualifications
Qualifications for this position include a strong working knowledge of securities across asset classes, as well as prior experience monitoring investment guidelines, coding investment restrictions into a vendor or proprietary compliance monitoring system (preferably Fidessa's Sentinel product), and prior management experience.

In addition, the candidate should be self-confident, a self-starter, results driven, have an inquisitive mind, and be controls conscious. Strong organizational skills, project management 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 are critical. Attention to detail and computer literacy (knowledge of Word, Excel, and similar tools) are important, as is the desire to learn our compliance monitoring systems, Sentinel.

Relevant work experience in the financial services industry, law, or a related area are required. Advanced degree work, including CFA designation or other professional certification would be a plus.

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