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Compliance Officer, Emea
il y a 1 mois
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
The position’s primary responsibilities will include:
- Serve as the RC/MLRO for our EU domiciled funds and the RC for our Luxembourg Management Company, with accountability to regulators and fund boards of directors
- Perform annual AML/CTF risk assessments for the IFM and the funds
- Prepare annual summary reports on AML/CTF activities and operations
- Point of escalation for the onboarding of complex and high risk investors
- Ensure the EU fund AML programme meets regulatory obligations and our enterprise standards and best practices
- Develop strong collaborative relationships with key stakeholders in fund management, fund administration and client servicing to facilitate strong end-to-end support of the EU fund compliance programme
- Manage internal and external audits and regulatory exams relating to the Fund AML compliance programme;
- Maintain relevant policies and procedures, conduct risk assessments, and periodically report on the status of the programme to senior leadership and governance committees
- Provide advice and support to the business
- Draft regulatory Fund submissions, investigate and manage responses to regulatory questions
- Monitor and advise on regulatory change; co-ordinate the introduction of new regulatory requirements in the Fund AML/CTF programme
- Provide training to internal groups supporting the Fund AML compliance programme
Qualifications, knowledge and experience
- Demonstrated track record of development & progression in AML compliance roles; experience serving as a senior AML/CTF Compliance Officer (RC) or MLRO is a plus
- 5+ years of relevant financial services experience
- Experience interacting with, advising and influencing senior business professionals and Boards of Directors
- Experience representing a firm/compliance program in front of regulators in exam or enforcement settings
- Experience leading cross functional initiatives, including project and process management skills, technology implementation skills, etc.
- Experience in private equity is a plus
- A willingness to take on new career challenges, demonstrated by taking on complex or differentiated work assignment or career rotations
- A fiduciary and humanistic mindset, demonstrated by experiences displaying a focus on helping others
- ._
