Compliance Analyst, APAC

About the role

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. Compliance Analyst (Hong Kong) .................................................................................................................................................................................................................................................... Wellington Management 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. Role description 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.

Responsibilities

• 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.

Requirements

• 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.
• 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

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