Compliance Analyst, APAC

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.

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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.

We are seeking a Compliance Analyst with good foundational compliance experience in the financial services industry to help maintain our Hong Kong Core Compliance program. Based in Hong Kong, the Compliance Analyst will work closely with our Hong Kong Compliance Officer as well as our Chief Compliance Officer for Hong Kong. The role sits within the APAC Compliance team within our global Legal and Compliance function and reports to the Chief Compliance Officer for Asia Pacific, also based in Hong Kong.

The Compliance Analyst will:

·   Handle licensing applications and ongoing notifications to the SFC.

·   Advise our licensed staff on CPT requirements, support CPT recordkeeping and monitor completion progress.

·   Complete regulatory questionnaires and filings.

·   Prepare compliance reports for supervisory meetings.

·   Help create compliance training materials and assist in the delivery of compliance training.

·   Support ongoing compliance record retention.

·   Address day-to-day business queries related to our core compliance requirements.

·   Support the Public Markets Compliance team on wall-crossing requests from brokers.

·   Conduct compliance testing to verify adherence to firm policies and procedures.

·   Keep track of regulatory developments and maintain Compliance policies and procedures.

·   Manage annual routine compliance audits by external auditors and support any regulatory inspections.

·   Identify process improvement opportunities and help implement them with technology and AI tools.

·   Participate in department or firm-wide project-based initiatives.

·   1 to 3 years of foundational compliance experience within the financial services industry.

·   Highest ethical standards with personal and professional integrity.

·   Ability to prioritise effectively and maintain high attention to detail, producing accurate work under tight deadlines.

·   Ability to apply analytical and decision-making skills in a collaborative environment.

·   Strong communication and interpersonal skills.

·   Self-starter with a high level of intellectual curiosity.

·   Technology-savvy, with the ability to adopt emerging technologies, including AI and automation.

·   Strong academic credentials and fluency in written and spoken English. Ability to read traditional and simplified Chinese is a plus.

Not sure you meet 100% of our qualifications?  That’s ok. If you believe that you could excel in this role, we encourage you to apply and welcome a chance to review your background. We are dedicated to building and maintaining a diversified workforce and considering a broad array of candidates with a variety of skill, workplace experiences, and backgrounds.

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 [email protected].

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.