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 Head of Private Credit Compliance will support and provide leadership to Wellington Management’s private investments compliance program, focusing on private credit. Wellington is expanding the asset classes, products, and geographical footprint of its private investments business. Therefore, a key responsibility of the role is to work with the Chief Compliance Officer to build-out, manage and execute the compliance infrastructure for private credit.

This role will be a member of the Legal and Enterprise Risk Group and will report to the Private Investments Chief Compliance Officer, working closely with other compliance professionals and attorneys. 

Responsibilities

The Head of Private Credit Compliance's principal responsibilities will include the following:

• Serve as the private credit subject matter expert in providing regulatory compliance advice and guidance to the private investments business and in collaboration with legal and enterprise risk colleagues

• Provide regulatory risk oversight and support with respect to Wellington’s private credit clients, including both funds and separately managed accounts

• Collaborate with the portfolio management and infrastructure teams to design physical separation, secure storage, access controls for “private side” information; integrate those measures with the firm’s “public side” policies and procedures to identify and prevent the misuse of material non-public information

• Supporting Wellington’s private investments compliance program (firmwide) regulatory risk areas including those that pertain to Conflicts of Interest, MNPI, Marketing, Fund Governance, Valuation, and ESG

• Design of applicable control frameworks, including drafting relevant policies, procedures and disclosure

• Participate in developing and conducting regulatory training

• Coordinate enhancements to supervisory processes, internal controls and internal testing

• Collaborate with EMEA and APAC compliance colleagues to drive coordinated outcomes

• Contribute to the evolving design and execution of team processes, workflows and compliance management tools

• Participate in project management of key initiatives to support the private investments compliance program

• Synthesize and organize information, create team reference tools, and assist with enhancing and maintaining team recordkeeping practices

• Support regulatory inquiry and exam management in relation to Wellington’s private investments business, as appropriate

Qualifications

• 12+ years of legal and compliance experience working at an investment adviser to private credit or direct lending fund(s)

• Bachelor’s degree plus J.D. or professional designation (e.g. CFA) a plus

• Excellent writing skills; experience drafting policies and legal documents a plus

• Excellent interpersonal skills and an ability to work both independently and as a member of a team

• Ability to self-start, think creatively and initiate projects that lead to improved scalable workflows

• Highly organized and detail oriented with the ability to manage multiple initiatives simultaneously; proactive, self-motivated

• Strong presentation skills and comfort presenting in large groups

• Familiarity with Investment Advisers Act and other rules and regulations applicable to Wellington Management

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, nat