Compliance Officer, Public Markets

**About Us**

**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 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 that aligns our perspectives with those of our clients.

About the Role

**Position Overview**

The Compliance Officer will support Wellington Management's global investment & trading compliance program, focusing primarily on compliance support to our APAC investment teams and our trading in equity, fixed income and derivatives markets within the region. As our firm expands the asset classes, products and geographical footprint of its businesses, a key responsibility of the role will be supporting compliance procedures and controls related to material non-public information (MNPI) and potential conflicts.

The Compliance Officer will be a member of the Legal, Compliance and Risk Group, report directly to the Global Head of the Public Markets Compliance and work closely with other compliance, legal and risk professionals, as well as senior investment and trading personnel.

**Responsibilities**

The Compliance Officer's primary responsibilities will include the following:

- Providing real-time compliance advice and support to investment and trading personnel with respect to policies & procedures, controls, policy exceptions, regulatory rules, MNPI, supervision, electronic trading, best execution, position limits, etc.
- Assessing conflicts and recommending mitigating controls within the investment, order implementation, and trading processes.
- Driving the continued evolution of our firm's policies, procedures and other controls relating to investment, order implementation, and trading processes in response to various growth initiatives.
- Collaborating with APAC, EMEA and US compliance colleagues and the broader Legal, Compliance and Risk Group to drive coordinated outcomes.
- Developing and maintaining collaborative partnerships with our investors and traders, as well as their managers.
- Providing regulatory risk management advice and support, including policies & procedures, controls, policy exceptions, regulatory rules, supervision, etc.
- Work with relevant business and infrastructure teams to design robust supervisory processes and controls and negotiate risk proportionate and pragmatic solutions among key stakeholders.
- Reviewing regulatory developments and evaluating their impact on our firm.
- Advising forensic and compliance testing teams on areas of focus, testing design, special investigations and findings.
- Recommending enhancements to supervisory processes, internal controls and internal testing.
- Responding to regulatory inquiries and examinations of our global business.
- Developing and conducting regulatory training, where appropriate.
- Contributing to the strategic vision and direction of Global Public Markets Compliance.

**Qualifications**
- 7+ years of compliance or asset management experience (familiarity with the HK and/or SG regulatory requirements applicable to the activities of a central dealing desk is a plus).
- Working knowledge of regulatory requirements applicable to accessing the mainland China capital markets as foreign investors; experience across multiple jurisdictions/regulatory regimes a plus.
- Ability to read and speak Mandarin a plus.
- Ability to synthesize, condense and convey complex information to key stakeholders in clear, digestible and simple terms.
- Strong interpersonal skills and ability to influence outcomes through collaboration.
- Strong written and oral communication skills.
- Creative mindset.
- Proactive, adaptable and well-organized; ability to both work well independently and as part of a team.

We believe that in person interactions inspire 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 believe that this approach ultimately supports our mission to deliver investment excellence to our clients and their beneficiaries over the long term.