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 55 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.
POSITION POSITION We are seeking a compliance professional with good foundational compliance experience in the financial services industry to help establish the marketing compliance function in Asia Pacific (APAC). Based in Hong Kong, the Compliance Analyst will report to the Compliance Officer for Hong Kong. As a member of the APAC Legal and Enterprise Risk Management team, the Compliance Analyst will provide regulatory advice and support to the client facing teams in their sales and distribution activities in the region.
RESPONSIBILITIES
The Compliance Analyst's core responsibilities will include the following:
Providing regulatory advice and support to the client facing and marketing teams on fund distribution and marketing activities with non-retail clients in APAC
Review of marketing materials used in the APAC ex-Japan region with non-retail clients
Drafting and implementing policies and procedures together with the Marketing Compliance teams in the Americas and EMEA
Developing and conducting regulatory training on sales and marketing activities
Engaging business colleagues on suggested enhancements to supervisory processes and internal controls and implementing agreed enhancements with the business
Participating in department or cross-functional initiatives pertaining to sales and marketing activities
The individual may also be involved in the following:
Participating in other department or firm-wide project-based initiatives
Cross coverage for colleagues as appropriate
QUALIFICATIONS
Around 5 years of compliance experience working with international financial institutions, with experience at global investment management firms a plus
Good understanding of financial instruments with experience in applying that knowledge in reviewing marketing materials
Highest personal and professional integrity and ethics
Flexibility and openness to continue learning, evolving and growing
Ability to effectively prioritise, produce consistently accurate work and meet strict deadlines
Ability to apply analytical and decision-making skills in a collaborative environment
Strong communication and interpersonal skills; good business acumen
Self-motivated, enthusiastic and strong interest in investment products
Strong academic credentials
Written and spoken Chinese language skills are required
SKILLS
JOB TITLE Compliance Analyst (Client and Marketing focused)
LOCATION Hong Kong
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 GMCANINQ@wellington.com .
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