Officer, Americas Core Compliance

About Us

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.

About the Role

Core Regulatory Compliance Officer

company overview

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 55 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.

Wellington manages approximately $1.2 trillion in public investments.

Position overview

The Compliance Officer will be a member of the Legal, Compliance & Risk Group and will report to the Head of Core Compliance, Americas, working closely with other compliance professionals and attorneys.

Responsibilities

The Compliance Officer's primary responsibilities will include the following :

• Overseeing Wellington's ERISA compliance program including the further development and oversight of the compliance framework for Wellington Trust Company
• Reviewing regulatory rule proposals, amendments and regulatory developments and driving the evaluation of a rule's impact on business practices
• Providing general risk management advice with respect to policies & procedures, controls, policy exceptions, regulatory rules, supervision, etc.
• Drafting policies and procedures
• Responding to regulatory inquiries or examinations
• Developing and conducting regulatory training, where appropriate
• Recommending enhancements to supervisory processes, internal controls and internal testing
• Collaborating with EMEA and APAC compliance colleagues and the broader Enterprise Risk Group to drive coordinated outcomes

Qualifications

• 8+ years of relevant investment adviser compliance experience; mutual Fund and ETF compliance experience highly preferred
• Familiarity with ERISA regulations and other rules and regulations applicable to Wellington Management
• Prior success developing and implementing technology solutions to strengthen internal controls
• Strong business judgment
• Global mindset
• Excellent written and oral communication skills. Strong presentation skills and comfort presenting in large groups with senior business management
• Ability to synthesize, condense and convey complex regulatory and policy information to key stakeholders in clear and simple terms
• Ability to influence outcomes through collaboration and well defined advice
• Ability to apply analytical and decision-making skills in a collaborative and fast-paced environment
• Strong understanding of and experience with data analysis tools
• Creativity and ability to work under pressure
• Proactive, self-motivated and well-organized

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 .

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 [email protected] .

At Wellington Management, our approach to compensation is designed to help us attract, inspire and retain the best talent in our industry.

We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation;

all employees are eligible to receive salary, variable compensation, and benefits. The base salary range for this position is :

USD 100,000 - 225,000

This range takes into account the wide range of factors that are considered when making compensation decisions, including but not limited to skill sets;

role; skills and experience; certifications; and education. This range is an estimate, and further details on salary and total compensation aspects will be shared with candidates during the recruitment process.

Base salary is only one component of Wellington's total compensation approach. Other rewards may include a discretionary Corporate Bonus and / or Incentives, if eligible.

In addition, we offer a comprehensive and high value benefit package to meet the unique needs of our employees and their families, and we are committed to fostering a flexible work environment that enables employees to thrive personally and professionally.

Examples of our benefits include retirement plan, health and wellbeing, dental, vision, and pharmacy coverage, health savings account, flexible spending accounts and commuter program, employee assistance program, life and disability insurance, adoption assistance, back-up childcare, tuition / CFA reimbursement and paid time off (leave of absence, paid holidays, volunteer, sick and vacation time)

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