Compliance Analyst (Private/Capital Markets)

Employer
Wellington Management Company, LLP
Location
Singapore, Singapore
Salary
Competitive
Posted
15 Nov 2022
Closes
15 Dec 2022
Ref
17105210
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
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

Position Overview
The Compliance Analyst will support Wellington Management's Asia-Pacific (APAC) investment platform and trading compliance program as well as its global private investments compliance program, focusing on trading, portfolio management, and material non-public information (MNPI) related controls. This position is based in our Singapore office. We are transitioning to a hybrid work environment in which both remote work and time spent in the office will play a critical role. Our employees are welcome to work remotely two days a week as a standard practice. The Compliance Analyst will be a member of the Legal and Enterprise Risk Group and will report to the APAC Compliance Officer based in our Hong Kong office, working closely with other compliance professionals and attorneys.

Responsibilities
The Compliance Analyst's principal responsibilities will include the following:
  • Serve as the APAC private investments subject matter expert in providing regulatory compliance advice and guidance to the private investments business, in collaboration with global legal and enterprise risk colleagues.
  • Supporting Wellington's private investments compliance program (firmwide) regulatory risk areas including those that pertain to MNPI, Valuation, and ESG
  • Handle wall cross requests from brokers and establish the firmwide restrictions for privately marketed transactions involving MNPI
  • Assist with providing real-time regulatory advice and compliance support to the trading team with respect to order aggregation, trade allocation, cross trades, best execution, electronic trading, conflicts, and other relevant regulatory requirements and internal policies and procedures
  • Assist with providing timely regulatory advice to the corporate access and research services team, as well as investment personnel on investment research inputs, expert networks, conflicts, and other relevant regulatory requirements and internal policies and procedures
  • Support the firm's compliance policies and procedures governance, including revising and drafting of applicable policies and procedures
  • Conduct ongoing compliance monitoring of trading and portfolio management activities, including investments in private companies
  • Participate in developing and conducting regulatory training
  • Participate in execution of key initiatives to support the private investments compliance program, including information barrier implementation
  • Support regulatory inquiry and exam management in relation to Wellington's APAC and private investments business, as appropriate
Qualifications
  • 3 to 5 years of legal and compliance experience working at an investment adviser to private fund(s)
  • Bachelor's degree plus professional designation (e.g. CFA) a plus
  • Prior experience with the Hong Kong or Singapore regulatory requirements applicable to the activities of a central dealing desk or some working knowledge of the trading rules across multiple jurisdictions/regulatory regimes a plus
  • "Control room" compliance experience a plus
  • Impeccable personal and professional integrity and ethics
  • 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 U.S. Investment Advisers Act and other rules and regulations applicable to asset managers
  • Ability to read Chinese 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 GMCANINQ@wellington.com .