Assurance Officer

Wellington Management Company, LLP; Boston (MA); On-site; USD 80,000 - 180,000; Full time

Job summary

Wellington Management is seeking a compliance professional to help establish a global assurance testing program. The role involves designing and conducting compliance testing reviews, collaborating with business partners, and documenting results for management.

The candidate will engage with regional Compliance Officers to tailor testing to regional regimes and assist in risk assessment and testing plan development.

Qualifications

• 4 to 10 years of compliance testing experience and/or audit experience (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 (experience with Alteryx, SQL, Python a plus)
• 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

Responsibilities

• Design and conduct compliance testing reviews that seeks to verify compliance with applicable regulatory requirements and policies and procedures.
• Work with business partners to execute assurance tests and objectively analyze results and formulate conclusions.
• Create clear and concise documentation of the compliance tests and report test results to management.
• Regularly seek input from regional Compliance Officers to obtain sufficient understanding of each regional compliance regime’s requirements, business activities, and related risks to facilitate effective design and execution of the assurance testing program.
• Provide input into the identification and assessment of compliance risks and establishment of the assurance testing plan.

Skills

Compliance testing

Audit experience

Alteryx

SQL

Python

Analytical thinking

Communication skills

Tools

Alteryx

SQL

Python

Job description

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

We are seeking a compliance professional with good foundational compliance testing experience in the financial services industry to help establish a global assurance testing program.

RESPONSIBILITIES

As a member of the Assurance & Surveillance Team, the Assurance Testing Officer will:

• Design and conduct compliance testing reviews that seeks to verify compliance with applicable regulatory requirements and policies and procedures.
• Work with business partners to execute assurance tests and objectively analyze results and formulate conclusions.
• Create clear and concise documentation of the compliance tests and report test results to management.
• Regularly seek input from regional Compliance Officers to obtain sufficient understanding of each regional compliance regime’s requirements, business activities, and related risks to facilitate effective design and execution of the assurance testing program.
• Provide input into the identification and assessment of compliance risks and establishment of the assurance testing plan.

QUALIFICATIONS

• 4 to 10 years of compliance testing experience and/or audit experience (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 (experience with Alteryx, SQL, Python a plus)
• 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

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 [e-mail] .

At Wellington Management, our approach to compensation is designed to help us attract, inspire and retain the best talent in our industry.We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary, variable compensation, and benefits. The base salary range for this position is:
USD 80,000 – 180,000
This range takes into account the wide range of factors that are considered when making compensation decisions, including but not limited to skill sets; role; skills and experience; certifications; and education. This range is an estimate, and further details on salary and total compensation aspects will be shared with candidates during the recruitment process.

Base 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 addition, 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 thrive personally and professionally. Examples of our benefits include retirement plan, health and wellbeing, dental, vision, 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 paid time off (leave of absence, paid holidays, volunteer, sick and vacation time)