Head of Private Credit Compliance

Responsibilities

The Head of Private Creditpliance's principal responsibilities will include the following :

• Serve as the private credit subject matter expert in providing regulatorypliance advice and guidance to the private investments business and in collaboration with legal and enterprise risk colleagues
• Provide regulatory risk oversight and support with respect to Wellington's private credit clients, including both funds and separately managed accounts
• Collaborate with the portfolio management and infrastructure teams to design physical separation, secure storage, access controls for "private side" information;

integrate those measures with the firm's "public side" policies and procedures to identify and prevent the misuse of material non-public information

• Supporting Wellington's private investmentspliance program (firmwide) regulatory risk areas including those that pertain to Conflicts of Interest, MNPI, Marketing, Fundernance, Valuation, and ESG
• Design of applicable control frameworks, including drafting relevant policies, procedures and disclosure
• Participate in developing and conducting regulatory training
• Coordinate enhancements to supervisory processes, internal controls and internal testing
• Collaborate with EMEA and APACpliance colleagues to drive coordinated oues
• Contribute to the evolving design and execution of team processes, workflows andpliance management tools
• Participate in project management of key initiatives to support the private investmentspliance program
• Synthesize and organize information, create team reference tools, and assist with enhancing and maintaining team recordkeeping practices
• Support regulatory inquiry and exam management in relation to Wellington's private investments business, as appropriate

Qualifications

• 12+ years of legal andpliance experience working at an investment adviser to private credit or direct lending fund(s)
• Bachelor's degree plus or professional designation ( CFA) a plus
• Excellent writing skills; experience drafting policies and legal documents a plus
• Excellent interpersonal skills and an ability to work both independently and as a member of a team
• Ability to self-start, think creatively and initiate projects that lead to improved scalable workflows
• Highly organized and detail oriented with the ability to manage multiple initiatives simultaneously; proactive, self-motivated
• Strong presentation skills andfort presenting in large groups
• Familiarity with Investment Advisers Act and other rules and regulations applicable to Wellington Management

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 wee 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 amodation to apply for one of our jobs, please email us at GMWTalentOperations@wellington .

At Wellington Management, our approach topensation is designed to help us attract, inspire and retain the best talent in our strive to pay employees fairly andpetitively across all levels and roles.

Our approach topensation considers all aspects of totalpensation; all employees are eligible to receive salary, variablepensation, 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 makingpensation 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 totalpensation aspects will be shared with candidates during the recruitment process.

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

In addition, we offer aprehensive and high value benefit package to meet the unique needs of our employees and their families, and we aremitted 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 andmuter 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)

Job ID R87769 46174555787 1