Global Compliance Assurance Specialist

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

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.