Legal & Compliance Analyst
Position Description:
The Company
Tracing our roots to 1928, Wellington Management is one of the world's largest independent investment management firms. With more than US$700 billion in assets under management, we serve as a trusted adviser to institutional clients and mutual fund sponsors in over 50 countries. Our innovative investment solutions are built on the strength of proprietary, independent research and span nearly all segments of the global capital markets, including equity, fixed income, multi-asset, and alternative strategies. As a private partnership whose sole business is investment management, our long-term views and interests are aligned with those of our clients. We are committed to attracting a talented and diverse workforce, and to fostering an open, collaborative culture of inclusivity because we believe multiple perspectives lead to more informed investment and business decisions. We welcome people with diverse life experiences, fresh ideas, and specialized subject-matter expertise.
The Position
The Legal and Compliance Department is seeking to hire a Legal Compliance Analyst to support the requirements of our Asia Pacific business, reporting to Hong Kong counsel. The Analyst will work with and support those compliance professionals and legal counsel (located globally) responsible for providing services in the Asia Pacific region with respect to:
• Implementation, testing and monitoring of the firm¿s compliance program
• Attention to regulatory inquiries, licensing and conduct of business matters
• Business operations and corporate governance
The Analyst will work closely in the proper development and maintenance of the firm¿s compliance procedures and controls. The analyst is expected to take a leading role in implementing and monitoring compliance with Asia-Pacific regulatory and licensing requirements. This includes, for example, assisting with individual staff licensing matters, monitoring under the firm¿s Code of Ethics, and support for induction training in regional offices.
The Analyst will support legal and compliance professionals with respect to client-related matters, including contract negotiations and investment guideline analysis. The Analyst will also work closely with Legal and Compliance professionals to facilitate new client intake and support the day to day provision of client service.
The Analyst will support governance for our regional offices, for example in scheduling and facilitating Responsible Officer meetings, or management committee and compliance committee meetings. In addition, the analyst will support compliance monitoring for evolving business functions including trading in listed equity and private placement transactions.
In order to perform this role effectively applicants must:
• Possess a University degree, with at least five years of relevant professional experience within the financial services industry in compliance, risk management, audit and/or legal
• Demonstrate excellent organizational, administrative and communication skills
• Must be detail-oriented and proactive
• Learn quickly and seek responsibility in response to unique challenges
• Must be energetic and self-motivated, with the ability and interest to identify and develop more efficient
processes
• Juggle multiple tasks and perform well under pressure in a fast-paced global team environment
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