Manager, Compliance
Wellington Management - Boston, MA

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The Company:
Tracing our roots to 1928, Wellington Management Company, LLP is one of the world’s largest independent investment management firms. With US$719 billion in assets under management as of 31 March 2012, we serve as a trusted adviser to institutional clients and mutual fund sponsors in over 50 countries. Our innovative investment solutions are built on the strength of proprietary, independent research and span nearly all segments of 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 culture of inclusivity because we believe multiple perspectives lead to more informed investment and business decisions. We welcome people with diverse life experiences, fresh ideas, and specialized subject-matter expertise.

Description:
The Compliance Officer or Compliance Manager will be primarily responsible for carrying out the firm’s compliance program with respect to its limited purpose broker dealer and will serve as the broker-dealer’s Chief Compliance Officer. The Compliance Officer or Compliance Manager will also provide additional support for the compliance programs of the firm’s SEC registered investment advisers and Trust Company The Compliance Officer or Compliance Manager will be a member of the Regulatory Compliance team within the Legal and Compliance Group working under the direction of the Wellington Management’s Chief Compliance Officer and with other attorneys and compliance professionals.

Responsibilities:
Broker-Dealer
•Serve as the Chief Compliance Officer of the firm’s limited purpose broker-dealer.
•Oversee the maintenance and filings of Forms BD, BR, U-4, and U-5.
•Oversee the execution of the firm’s program for the review and supervision of institutional and retail marketing activities and actively review or assist in the review of such materials as appropriate.
•Oversee and conduct testing of compliance with applicable regulations, policies and procedures related to FINRA Rule 3012.
•Conduct branch office examinations.
•Monitor regulatory developments applicable to our broker-dealer activities and assess impact to the firm’s activities as appropriate;
•Liaise effectively with business representatives on training, awareness and communication needs. Develop and deliver such trainings and communications as appropriate;
•Maintain and revise the broker-dealer’s policies and procedures and related training content;
•Assist with examinations and reviews by internal and external parties;
•Perform special projects and other duties as assigned.
Investment Adviser and Trust Company
•Support the firm’s investment adviser and trust company compliance programs.
•Oversee the firm’s compliance program related to marketing, sales and client services activities.
•Monitor regulatory developments and assess impact to firm.
•Oversee and support all phases of compliance trainings from planning through execution
•Contribute to the development, deployment and enforcement of compliance policies and procedures
•Oversee the due diligence of marketing controls and processes related to strategic arrangements with third parties.
•Assist with examinations and reviews conducted by internal and external parties.
•Perform special projects and other duties as assigned.
Management Skills
•This position will entail supervision of two or more compliance professionals.
Qualifications:
•Undergraduate degree and minimum of 10 years of experience with broker dealer compliance, to include experience with marketing review.
•Detailed knowledge of rules and regulations applicable to broker-dealers.
•Knowledgeable about comparable non-US laws and regulations desireable.
•Experience with investment adviser compliance matters.
•Team-oriented: ability to apply analytical and decision-making skills in a collaborative environment.
•Service oriented: ability to balance regulatory and policy standards along with a business perspective.
•Exceptional organizational skills: ability to effectively prioritize tasks, produce consistently accurate work and meet strict deadlines.
•Superior written and oral communication skills and confidence in interacting with all levels of management.
•NASD Series 7 and 24 strongly preferred.

Wellington Management - 24 months ago - save job
About this company
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If Napoleon had met this Wellington, Waterloo would have taken on a whole new meaning: sound asset management. Wellington Management...