Compliance Analyst (Testing)
Wellington Management Company, LLP
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Compliance Analyst (Testing)

Wellington Management Company, LLP

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Details
Posted:
April 1, 2021
Location:
Salary:
Open
Type:
Full Time
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 institutional clients in more than 55 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.

POSITION
POSITION
We are seeking a compliance professional with good foundational compliance testing experience in the financial services industry to help establish a compliance testing program for our Asia Pacific (APAC) region. Based in Hong Kong, the Compliance Analyst will report to a Compliance Officer in Hong Kong. As a member of the APAC Legal and Enterprise Risk team, the Compliance Analyst will design and conduct compliance testing that seeks to verify compliance with applicable regulatory requirements and policies and procedures that are specific to the APAC region. The Compliance Analyst will also be a member of our global Program and Regulatory Testing team and benefit from the global coordination and testing methodology.

RESPONSIBILITIES
The Compliance Analyst's core responsibilities will include the following:
  • Designing and conducting compliance testing to verify compliance with the regulatory requirements and policies and procedures that are specific to the Asia Pacific region
  • Regularly seeking input from the Compliance Officers within the region to obtain sufficient understanding of each regime's requirements, business activities and related risks, so as to facilitate effective design and execution of the regional compliance testing program
  • Creating clear and concise documentation of the compliance tests, and providing regular updates to the compliance officers within the region on the testing status and findings
  • Coordination with the global Program and Regulatory Testing team to ensure that the regional and global testing programs complement one another
  • Conducting testing under the global compliance testing program as required
  • In time, identifying test areas and presenting findings and recommendations to senior management
QUALIFICATIONS
  • Around 3 to 5 years of compliance testing experience gained from international financial institutions, with experience at global investment management firms a plus
  • Highest personal and professional integrity and ethics
  • Flexibility and openness to continue learning, evolving and growing
  • Self-motivated, enthusiastic and strong interest in investments
  • Aptitude for technology and data analysis
  • Persistent and inquisitive
  • Strong analytical, problem-solving and organisation skills
  • Creativity and ability to work under pressure independently as well as in a team environment
  • Strong written and oral communication and interpersonal skills
  • Chinese language skills preferred but not required
SKILLS

JOB TITLE
Compliance Analyst (Testing)

LOCATION
Hong Kong

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 .

Internal Number: 9643988
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