Analyst, Privates Compliance

Senior Compliance Analyst

The Senior Compliance Analyst will support Wellington Management's Global Private Investments Compliance program, focusing on information controls. As Wellington is expanding the asset classes, products and geographical footprint of its public and private investments businesses, a key responsibility of the role will be supporting the development and strengthening of critical controls related to the firm's intake of non-public information. The successful candidate will hone a deep understanding of the firm's wall cross process between the private and public investment platforms with a concentration on private credit, work collaboratively with various internal stakeholders on issue identification and escalations, and assist with the strategic implementation of IT solutions to streamline the compliance framework around conflicts and non-public information. This position is open to candidates in Boston, New York and Chicago. The Senior Compliance Analyst will be a member of the Private Investments Compliance team within the Legal, Compliance & Risk Group, working closely with other compliance professionals and attorneys.

Responsibilities :

• Enhance the firm's information controls and monitoring relating to the intake, retention and dissemination of confidential information for both private and public companies; enhance the scope and integrity of controls monitoring the communication of "private-side" information to the firm's "public-side" investment platform
• Assist with providing timely regulatory advice to investment, business and infrastructure teams, on information barrier requirements, regulatory obligations and related internal policies and procedures
• Drive the firm's information barrier preclearance process and maintain oversight of restricted lists associated with the private investments business
• Design and enforce controls governing physical separation, secure storage, and access controls for sharing of data outside the private investments businesses, ensuring robust information governance and compliance with internal information barrier protocols
• Contribute to the evaluation of potential MNPI and implement appropriate controls in alignment with the firm's policies and procedures to ensure regulatory compliance and information integrity
• Collaborate with EMEA and APAC Legal and Compliance colleagues to establish a coordinated approach to global information controls
• Synthesize and organize information, create team reference tools, procedures, desktop guidance, support the information barrier team coverage model, and assist with enhancing and maintaining team documentation practices
• Participate in developing and conducting regulatory training
• Support the firm's compliance policies and procedures governance, including revising and drafting of applicable policies and procedures
• Support Wellington's private investments compliance program regulatory risk areas including those that pertain to conflicts of interest, artificial intelligence (AI), MNPI, marketing, governance, and valuation
• Support regulatory inquiry and exam management, as appropriate

Qualifications :

Not sure you meet 100% of our qualifications? That's ok. If you believe that you could excel in this role, we encourage you to apply and welcome a chance to review your background. We are dedicated to building and maintaining a diversified workforce and considering a broad array of candidates with a variety of skill, workplace experiences, and backgrounds.

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.