Wellington Management Company, LLP
Senior Compliance Officer
Wellington Management Company, LLP, New York, New York, us, 10261
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.
Is your CV ready If so, and you are confident this is the role for you, make sure to apply asap.About the Role The Head of Private Credit Compliance will support and provide leadership to Wellington Management's private investments compliance program, focusing on private credit. Wellington is expanding the asset classes, products, and geographical footprint of its private investments business. Therefore, a key responsibility of the role is to work with the Chief Compliance Officer to build-out, manage and execute the compliance infrastructure for private credit.This role will be a member of the Legal and Enterprise Risk Group and will report to the Private Investments Chief Compliance Officer, working closely with other compliance professionals and attorneys.Responsibilities The Head of Private Credit Compliance's principal responsibilities will include the following:Serve as the private credit subject matter expert in providing regulatory compliance 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 investments compliance program (firmwide) regulatory risk areas including those that pertain to Conflicts of Interest, MNPI, Marketing, Fund Governance, 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 APAC compliance colleagues to drive coordinated outcomes
Contribute to the evolving design and execution of team processes, workflows and compliance management tools
Participate in project management of key initiatives to support the private investments compliance 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 and compliance experience working at an investment adviser to private credit or direct lending fund(s)
Bachelor's degree plus J.D. or professional designation (e.g. 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 and comfort 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 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 GMWTalentOperations@wellington.com
.At Wellington Management, our approach to compensation is designed to help us attract, inspire and retain the best talent in our industry. We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary, variable compensation, 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 making compensation 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 total compensation aspects will be shared with candidates during the recruitment process.Base salary is only one component of Wellington's total compensation approach. Other rewards may include a discretionary Corporate Bonus and/ or Incentives, if eligible. In addition, we offer a comprehensive and high value benefit package to meet the unique needs of our employees and their families, and we are committed 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 and commuter 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)PDN-97360f4c-a402-4d4a-8aff-74218889de33
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.
Is your CV ready If so, and you are confident this is the role for you, make sure to apply asap.About the Role The Head of Private Credit Compliance will support and provide leadership to Wellington Management's private investments compliance program, focusing on private credit. Wellington is expanding the asset classes, products, and geographical footprint of its private investments business. Therefore, a key responsibility of the role is to work with the Chief Compliance Officer to build-out, manage and execute the compliance infrastructure for private credit.This role will be a member of the Legal and Enterprise Risk Group and will report to the Private Investments Chief Compliance Officer, working closely with other compliance professionals and attorneys.Responsibilities The Head of Private Credit Compliance's principal responsibilities will include the following:Serve as the private credit subject matter expert in providing regulatory compliance 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 investments compliance program (firmwide) regulatory risk areas including those that pertain to Conflicts of Interest, MNPI, Marketing, Fund Governance, 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 APAC compliance colleagues to drive coordinated outcomes
Contribute to the evolving design and execution of team processes, workflows and compliance management tools
Participate in project management of key initiatives to support the private investments compliance 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 and compliance experience working at an investment adviser to private credit or direct lending fund(s)
Bachelor's degree plus J.D. or professional designation (e.g. 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 and comfort 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 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 GMWTalentOperations@wellington.com
.At Wellington Management, our approach to compensation is designed to help us attract, inspire and retain the best talent in our industry. We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary, variable compensation, 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 making compensation 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 total compensation aspects will be shared with candidates during the recruitment process.Base salary is only one component of Wellington's total compensation approach. Other rewards may include a discretionary Corporate Bonus and/ or Incentives, if eligible. In addition, we offer a comprehensive and high value benefit package to meet the unique needs of our employees and their families, and we are committed 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 and commuter 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)PDN-97360f4c-a402-4d4a-8aff-74218889de33