Compliance Officer

Wellington Management Company, LLP
London, United Kingdom
28 Oct 2022
15 Nov 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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.

We are transitioning to a hybrid work environment where both remote work and the office play a critical role. Our vision is a future where all employees are empowered to work flexibly to drive the best outcomes for our clients. Flexible work is a mindset and a core value. Our employees are encouraged to work remotely two days a week as a standard practice and will have flexibility in terms of working hours.

About the Role

The Compliance Officer, Corporate Compliance is a newly created role that will have overall responsibility for overseeing a number of Wellington Management's critical enterprise compliance areas. Initially, this function will cover our group anti-money laundering (AML), anti-bribery and corruption (ABC), and data privacy programmes. Over time, we expect that the scope of these responsibilities will expand to include other areas, such as affiliate oversight and governance. . This role, based in London or Luxembourg, will be part of the firm's EMEA compliance team reporting into the Regulatory Compliance Lead.

The role will involve managing a small team of compliance professionals and working collaboratively with other members of our compliance, risk, legal and information security teams. In addition to responsibilities managing the team, this role also will contribute to tactical execution of the responsibilities of the function.

The role will interact regularly with key stakeholders in the business, particularly our client facing and operational teams. The ability to influence key stakeholders will be a key to success in the role.

The position's primary responsibilities will include:
  • Managing a team of compliance professionals supporting our AML, ABC and data privacy compliance functions
  • Develop and manage enterprise level compliance frameworks and processes, collaborating closely with regional compliance teams on local implementation
  • Develop global policies & standards, tools and templates to be used by regional compliance teams
  • Develop and implement firmwide training; support local training as needed
  • Take lead in supporting business on enterprise level technology enhancements
  • Serve as an SME to the business and regional compliance teams
  • Report on enterprise risks to senior leaders (in conjunctions with regional leads)
  • Develop a global anti-bribery and corruption framework
  • Support / advise regional leads on monitoring for and implementing new regulatory requirements
  • Lead personal information data incident responses
  • Partner with Information Security to ensure alignment between information security and privacy programs
  • Demonstrated track record of development & progression in compliance roles
  • A willingness to take on new career challenges, demonstrated by taking on complex or differentiated work assignment or career rotations
  • Ability to think strategically and have vision while also focusing on the details and execution
  • Strong presentation skills; demonstrated ability to present to committee boards and senior management
  • Pragmatic, risk-balanced advice; comfortable working with ambiguity
  • Self-motivated and works well independently; capable of taking initiative without prompting
  • Strong problem solving techniques, including the ability to identify, research and resolve unfamiliar issues and ability to clearly communicate issues to key stakeholders
  • Ability to collaborate across departments with a professional presence; proven ability to cultivate and maintain strong business relationships at all levels within the organization
  • Sound understanding of global anti-money laundering and/or data protection laws, including but not limited to GDPR
  • Experience managing a team a plus
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 .
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