Job ref no.: CT3126127-01#1326

Compliance Analyst (Testing)

Wellington Management Company LLP


RESPONSIBILITIES
The Compliance Analyst's core responsibilities will include the following:

  • Designing and conducting compliance testing to verify compliance with the regulatory requirements and policies and procedures that are specific to the Asia Pacific region
  • Regularly seeking input from the Compliance Officers within the region to obtain sufficient understanding of each regime's requirements, business activities and related risks, so as to facilitate effective design and execution of the regional compliance testing program
  • Creating clear and concise documentation of the compliance tests, and providing regular updates to the compliance officers within the region on the testing status and findings
  • Coordination with the global Program and Regulatory Testing team to ensure that the regional and global testing programs complement one another
  • Conducting testing under the global compliance testing program as required
  • In time, identifying test areas and presenting findings and recommendations to senior management

QUALIFICATIONS

  • Around 3 to 5 years of compliance testing experience gained from international financial institutions, with 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
  • 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
  • Chinese language skills preferred but not required

Interested parties please click Apply Now to apply job.

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.

 

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More job information
Job ref no. CT3126127-01#1326
Salary
Job Function
Industry
Employment Term
  • Permanent
  • Full-time
Experience
  • 3 years - 5 years
Career Level
  • Non-management level
Education
  • N/A