Wellington Management · 4 months ago
Senior Analyst, Privates Compliance
Boston, MA
Full-time
Hybrid
Mid, Senior Level
$100K/yr - $225K/yr
6+ years expWellington Management offers comprehensive investment management capabilities, and they are seeking a Senior Compliance Analyst to support their Global Private Investments Compliance program. This role focuses on enhancing information controls and compliance processes while collaborating with internal stakeholders to ensure regulatory adherence and effective management of non-public information.
AdviceAsset ManagementFinanceFinancial ServicesInsurance
Responsibilities
Enhance the firm’s information controls and monitoring relating to the intake, retention and dissemination of confidential information for both private and public companies; enhance the scope and integrity of controls monitoring the communication of 'private-side' information to the firm’s 'public-side' investment platform
Assist with providing timely regulatory advice to investment, business and infrastructure teams, on information barrier requirements, regulatory obligations and related internal policies and procedures
Drive the firm’s information barrier preclearance process and maintain oversight of restricted lists associated with the private investments business
Design and enforce controls governing physical separation, secure storage, and access controls for sharing of data outside the private investments businesses, ensuring robust information governance and compliance with internal information barrier protocols
Contribute to the evaluation of potential MNPI and implement appropriate controls in alignment with the firm’s policies and procedures to ensure regulatory compliance and information integrity
Collaborate with EMEA and APAC Legal and Compliance colleagues to establish a coordinated approach to global information controls
Synthesize and organize information, create team reference tools, procedures, desktop guidance, support the information barrier team coverage model, and assist with enhancing and maintaining team documentation practices
Participate in developing and conducting regulatory training
Support the firm’s compliance policies and procedures governance, including revising and drafting of applicable policies and procedures
Support Wellington’s private investments compliance program regulatory risk areas including those that pertain to conflicts of interest, artificial intelligence (AI), MNPI, marketing, governance, and valuation
Support regulatory inquiry and exam management, as appropriate
Qualification
Required
6+ years experience in the legal or compliance space
Bachelor's degree plus professional designation (e.g. CFA) a plus
Experience working at a large investment manager with diverse business lines or in a capacity designing and monitoring information controls is a plus
Experience working at an investment adviser or some working knowledge of (i) Control Room or information barrier practices and/or (ii) the trading rules across multiple jurisdictions/regulatory regimes a plus
Experience leveraging/utilizing technology and data and/or working closely with IT professionals to solve complex problems is a plus
Ability to synthesize, condense and convey complex information to key stakeholders in clear, digestible, and simple terms
Ability to influence outcomes through collaboration and effective challenge
Ability to collaborate effectively across teams, fostering a cooperative work environment and contributing to shared goals with professionalism and accountability
Strong written and oral communication skills
Proficiency in various technology and AI tools to facilitate process, documentation, audit trail and reporting capabilities
Highly organized and detail oriented with the ability to manage multiple initiatives simultaneously; proactive, self-motivated
Ability to self-start, think creatively and initiate projects that lead to improved scalable workflows
Familiarity with U.S. Investment Advisers Act, U.S. Investment Company Act and other rules and regulations applicable to asset managers
Benefits
Discretionary Corporate Bonus and/ or Incentives
Comprehensive and high value benefit package
Retirement plan
Health and wellbeing
Dental
Vision
Pharmacy coverage
Health savings account
Flexible spending accounts
Commuter program
Employee assistance program
Life and disability insurance
Adoption assistance
Back-up childcare
Tuition/CFA reimbursement
Paid time off (leave of absence, paid holidays, volunteer, sick and vacation time)
Company
Wellington Management
Wellington Management focuses on investment management by applying its resources to meet the needs of the institutional clients it serves.
1001-5000 employees
H1B Sponsorship
Wellington Management has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (79)
2024 (52)
2023 (62)
2022 (91)
2021 (82)
2020 (62)
Funding
Current Stage
Late StageLeadership Team
Jean Hynes
CEO, Managing Partner, and Portfolio Manager
Jackson Cummings
Head of Wellington Access Ventures (WAV)
Recent News
2026-01-21
2026-01-19
vcnewsdaily.com
2026-01-17
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