Compliance Analyst, ERM

Wellington Management Company, LLP
Singapore, Singapore
08 May 2022
07 Jun 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time

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.

We seek a compliance professional with good foundational Compliance experience in the financial services industry to join our established compliance team. Based in Singapore, the Compliance Analyst will report to the Compliance Officer in Singapore and focus mainly on ensuring that we have effective regulatory compliance arrangements for our business in Singapore and Australia.
Responsibilities will include the following:
  • Work closely with the Compliance team in Singapore to ensure that processes, systems and controls are in place to comply with the applicable regulatory requirements in Singapore and Australia.
  • Complete regular/ad hoc regulatory filings and surveys to the relevant regulatory bodies in Singapore and Australia.
  • Handle MAS licensing requirements including individual and corporate licence applications and timely notifications.
  • Keep abreast of market trends and regulatory developments relevant to the business in Singapore and Australia.
  • Maintain local policies and procedures to ensure that they reflect applicable local regulatory requirements.
  • Coordinate enhancements to supervisory processes and internal controls as required.
  • Deliver compliance training.
  • Provide compliance advice to the business on local compliance policies and procedures.
  • Assume other compliance responsibilities as a member of the APAC Compliance team as the needs arise.
  • Provide coverage for colleagues as appropriate.
  • Up to 2 years of compliance experience working within the financial services industry
  • Good working knowledge and interest in the financial markets.
  • Good knowledge of MAS requirements applicable to a CMS (fund management) licence holder.
  • Self-motivated, enthusiastic and intellectually curious, and has the ability to work independently as well as in a team environment.
  • Strong communication and interpersonal skills.
  • Inquisitive mindset and good analytical and problem-solving skills. Comfortable with data.
  • Good organizational skills and administration skills with the ability to manage assignments with competing priorities.
  • Ability to learn quickly and respond to unique challenges.
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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