The Compliance Analyst may be a be a member of the Core Compliance, Testing or Code of Ethics team, which are part of Wellington Management’s Legal and Compliance Group.? These compliance roles will work with one of the following: a) the firm’s Code of Ethics Policy which is the policy statement with respect to ethical conduct, and addresses certain areas of conflict of interest, including personal investing, receipt of gifts and entertainment, and outside activities.? The Code of Ethics team is also responsible for monitoring compliance with the firm’s Policy and Procedures Regarding Political Contributions; b) the firm’s Testing group, which is responsible for seeking to assess compliance with and detect violations of policy, regulation and law in support of the firm’s global compliance programs. This role will conduct testing of the firm’s compliance with policies, regulations or other requirements for areas identified by the firm’s global testing plan; or c) as a member of the firm’s Core Compliance team, this role will support Wellington’s compliance program core (firmwide) regulatory risk areas including those that pertain to ERISA, Investment Company Act of 1940, Custody, Record Retention, Fee Calculation, Proxy Voting and Whistleblower.
Tracing our roots to 1928, Wellington Management Company, LLP is one of the world’s largest independent investment management firms. With over US$1 trillion in assets under management as of 31 December 2019, we serve as a trusted adviser to institutional clients and mutual fund sponsors in over 60 countries. Our innovative investment solutions are built on the strength of proprietary, independent research and span the global capital markets, including equity, fixed income, multi-asset, and alternative strategies. As a private partnership whose sole business is investment management, our long-term views and interests are aligned with those of our clients. We are committed to attracting a talented and diverse workforce, and to fostering an open, collaborative, and inclusive culture because we believe multiple perspectives lead to more informed investment and business decisions. As an Equal Opportunity Employer, we welcome people with diverse life experiences, fresh ideas, and specialized subject-matter expertise.