Senior Compliance Analyst

Wellington Management Company, LLP
London, United Kingdom
24 Nov 2022
02 Dec 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 Senior Compliance Analyst role will support Wellington's European fund management business, which develops and oversees a variety of commingled funds domiciled primarily in Luxembourg and Ireland and distributed globally. Based in Luxembourg, you will report to the Chief Compliance Officer of the Wellington Luxembourg Investment Fund Manager and work alongside other legal and compliance professionals to provide support to the European fund business.

Primary responsibilities will include:
  • The execution of the IFM compliance monitoring plan; maintain and update the compliance monitoring tool; undertake testing and monitoring; disseminate results as necessary
  • Assisting in the maintenance of the policies and procedures related to the compliance programme
  • Assisting in the execution of the compliance training programme for the European fund business
  • Assisting in the preparation of periodic CSSF reporting
  • Maintaining compliance and complaints related records
  • Drafting of compliance related reports to the IFM Executive Committee and various boards.
  • Supporting the IFM RC with AML/CFT related controls and reporting
  • Participate in a variety of department or firm-wide project-based initiatives and working groups as and when needed
The successful candidate is likely to:
  • 5+ years of relevant financial services experience, ideally including supporting EU regulated investment funds (UCITs, OIECS, AIFs, collective investment funds, etc.). Experience in private equity would be an advantage.
  • A good working knowledge of Luxembourg regulatory requirements (knowledge of Irish fund regulations would be an advantage).
  • Effective interpersonal and communication skills and strong written and verbal skills
  • Highly motivated with a strong work ethic and a desire to learn
  • Strong fit with the firm's cultural tenets of inclusivity, collaboration, accountability, and collegiality
  • Fluent written and spoken English required (additional European languages would be an advantage).
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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