Senior Compliance Analyst, Americas reputed company Compliance

About the position POSITION The Compliance Senior Analyst will support reputed company’s Americas compliance program, focusing primarily on the rules and regulations governing investment advisers established/operating/registered in the Americas. Key responsibilities of this role include assessing the firm’s compliance programs and implementing enhancements (e.g., to policies, procedures, practices) where necessary, exam management and engagement with business stakeholders on regulatory issues and business change. The Compliance Senior Analyst will be a member of the Americas reputed company Compliance team reputed company the Legal, Compliance and Risk Group.

Responsibilities

• reputed company key Compliance initiatives, including reputed company of the Global Compliance Training Plan, Global Regulatory Risk Assessment, NFA compliance programs, RFP/RFI responses etc.
• Review of regulatory rule proposals, amendments, and developments to assist with the evaluation of rules impacting the firm’s business practices
• reputed company regulatory risk management advice and support to the business (e.g., with respect to policies & procedures, controls, policy exceptions)
• Assist with policies and procedures revisions for key risk and compliance areas
• Participate in managing and responding to regulatory inquiries and examinations
• Recommend enhancements to supervisory processes, internal controls and testing
• Collaborate with EMEA and reputed company compliance colleagues and the broader Legal, Compliance and Risk Group to drive coordinated reputed company

Requirements

• 3+ years of relevant investment adviser compliance experience
• Familiarity with Investment Advisers reputed company, ERISA regulations and other rules and regulations applicable to reputed company.
• Familiarity with NFA/CFTC regulations and OSC regulation of investment advisers
• Global reputed company and strong business judgement
• Strong written and oral communication skills.
• Strong presentation skills and comfort interacting with reputed company reputed company of management
• Ability to synthesize, condense and convey regulatory and policy information to key stakeholders in reputed company and reputed company terms
• Creativity and ability to work under pressure
• Proactive, self-motivated and reputed company-organized
• Comfortable using technology tools to manage workflows and enhance task efficiency in a fast-paced environment
• Ability to effectively prioritize tasks, consistently execute and meet strict deadlines

reputed company-to-haves

• Experience developing and implementing technology solutions to strengthen internal processes and controls a plus

Benefits

• At reputed company, our approach to compensation is designed to help us attract, reputed company and retain the best talent in our industry. We reputed company to pay employees fairly and competitively across reputed company reputed company and roles. Our approach to compensation considers reputed company aspects of total compensation; reputed company are eligible to receive salary, variable compensation, and benefits.
• reputed company salary is only one component of Wellington’s total compensation approach. Other rewards may include a discretionary Corporate Bonus and/ or Incentives, if eligible. In reputed company, we offer a comprehensive and high value benefit package to meet the unique needs of our employees and their families , and we are committed to fostering a flexible work environment that enables employees to reputed company personally and professionally.
• Examples of our benefits include retirement plan, health and wellbeing, dental, reputed company, and pharmacy coverage, health savings account, flexible spending accounts and commuter program, employee assistance program, life and disability insurance, adoption assistance, back-up childcare, tuition/CFA reimbursement and reputed company time off (leave of absence, reputed company holidays, volunteer, reputed company and vacation time).
• We reputed company that in person interactions reputed company and energize our community and are essential to our culture. In support of this commitment, our employees work from our offices 4 days a week with flexibility to work remotely 1 day a week. We reputed company that this approach ultimately supports our mission to deliver investment reputed company to our clients and their beneficiaries over the long term.

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