Compliance Analyst

WELLINGTON MANAGEMENT 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 institutionalclients 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 thataligns 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 outcomesfor 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. OVERVIEW We are seeking an individual with an understandingof transferable securities and other investment instruments and how they can be used in portfolios, with a particular focus on ESG issues and the UCITS regulatory framework. That individual will play an important role in helping our business to recognize issuesas we take on new mandates and implement new strategies as well as having a key role in making sure that we meet our responsibilities for complying with the regulations on an ongoing basis. The successful candidate will work with the Compliance Officer onEuropean fund regulation queries, primarily related to UCITS and to help support a second line ESG Compliance testing function to assist in the prevention of greenwashing, or the appearance of greenwashing. We will consider individuals from a wide varietyof backgrounds. The candidate is likely to have 3-5 years' experience with a Compliance, Guideline Monitoring, Product Management or Risk Management background. RESPONSIBILITIES The Compliance Analyst will be responsible for providing advice to various businessfunctions as the second line of defence within our framework for complying with our client's guidelines. There will be a focus on the UCITS regime, specifically through technical guidance to the business on the eligibility /suitability of specific instrumentsand investment strategies. The Compliance Analyst will provide subject matter expertise on matters related to UCITS and other client guidelines that derive from EU, Swiss and Middle Eastern regulatory regimes from the inception of new products through to theimplementation of trades by the portfolio management teams. Responsibilities will include but not be limited to: Assisting client facing teams with the onboarding of new sub-advisory clients through the assessment of pre-contractual documentation such as ProspectusesAssisting with the implementation of regulatory updates to rule libraries in our guideline monitoring systems, leading on reviews of existing coding and advising on the roll out of updated polices Partnering with guideline monitoring to provide guidance andadvice on UCITS eligibility questions Supporting the Compliance Programs for UCITS and ESG Compliance Monitoring for compliance with ESG Policies and ensuring no greenwashing Working with marketing compliance on ESG matters Monitoring and providing regulatoryadvice to the business on new opportunities and product ideas Providing training to the business as appropriate Building connections within the industry to assess the marketplace and regulatory changes / developments Working on other Compliance projects asappropriate. QUALIFICATIONS The successful candidate will have ideally gained experience within another blue-chip Investment Management firm Knowledge of portfolio management techniques across asset classes and how various instruments and strategies are usedto meet client requirements Knowledge of European fund regulations such as UCITS and AIFMD, including areas of regulatory divergence, such as the different approaches in Luxembourg and Ireland, and an awareness of industry best practices. We would not expectthe candidate to know all relevant regimes but to build their knowledge over time An understanding of guideline coding processes An interest in ESG, ideally with a working knowledge of existing European regulations related to sustainable finance, such as SRDII and SFDR Strong ethics, judgement and maturity Effective communication, organisation and analytical skills Proactivity, self-motivation and ability to work independently as well as in a team environment Not sure you meet 100% of our qualifications? That'sok. 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 varietyof 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 applicablelaw. 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.