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Wellington Management · 1 month ago

Senior Compliance Analyst, Americas Core Compliance

Boston, MA, United States

Full-time

Hybrid

Mid, Senior Level

$80K/yr - $150K/yr

3+ years exp

Wellington Management is a private partnership that offers comprehensive investment management capabilities globally. The Compliance Senior Analyst will support the Americas compliance program, focusing on regulatory issues and enhancing compliance policies and procedures.

AdviceAsset ManagementFinanceFinancial ServicesInsurance

H1B Sponsor Likely

Responsibilities

Lead key Compliance initiatives, including oversight of the Global Compliance Training Plan, Global Regulatory Risk Assessment, NFA compliance programs, RFP/RFI responses etc

Review of regulatory rule proposals, amendments, and developments to assist with the evaluation of rules impacting the firm’s business practices

Provide regulatory risk management advice and support to the business (e.g., with respect to policies & procedures, controls, policy exceptions)

Assist with policies and procedures revisions for key risk and compliance areas

Participate in managing and responding to regulatory inquiries and examinations

Recommend enhancements to supervisory processes, internal controls and testing

Collaborate with EMEA and APAC compliance colleagues and the broader Legal, Compliance and Risk Group to drive coordinated outcomes

Qualification

Investment adviser complianceInvestment Advisers ActNFA/CFTC regulationsRegulatory risk managementTechnology solutions implementationProactiveOrganizedCommunication skillsCreativity

Required

3+ years of relevant investment adviser compliance experience

Familiarity with Investment Advisers Act, ERISA regulations and other rules and regulations applicable to Wellington Management

Familiarity with NFA/CFTC regulations and OSC regulation of investment advisers

Global mindset and strong business judgement

Strong written and oral communication skills

Strong presentation skills and comfort interacting with all levels of management

Ability to synthesize, condense and convey regulatory and policy information to key stakeholders in clear and simple terms

Creativity and ability to work under pressure

Proactive, self-motivated and well-organized

Ability to effectively prioritize tasks, consistently execute and meet strict deadlines

Preferred

Experience developing and implementing technology solutions to strengthen internal processes and controls a plus

Comfortable using technology tools to manage workflows and enhance task efficiency in a fast-paced environment

Benefits

Retirement plan

Health and wellbeing

Dental

Vision

Pharmacy coverage

Health savings account

Flexible spending accounts

Commuter program

Employee assistance program

Life and disability insurance

Adoption assistance

Back-up childcare

Tuition/CFA reimbursement

Paid time off (leave of absence, paid holidays, volunteer, sick and vacation time)

Company

Wellington Management

Glassdoor4.1

Wellington Management focuses on investment management by applying its resources to meet the needs of the institutional clients it serves.

Founded in 1933

Boston, Massachusetts, USA

1001-5000 employees

http://wellington.com

H1B Sponsorship

Wellington Management has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (79)

2024 (52)

2023 (62)

2022 (91)

2021 (82)

2020 (62)