Compliance Analyst

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Wellington Management Company, LLP
  • 16 Dec 18

Compliance Analyst


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 50 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.


We seek a professional with good foundational Compliance experience in the financial services industry to join the Asia Pacific Compliance team. Based in Hong Kong, the Compliance Analyst will report to the Chief Compliance Officer for Asia Pacific (CCO) and work under the direction of the CCO and other Compliance Officers in Asia ex-Japan. This role will act as a good basis to consolidate knowledge for core compliance tasks and hone skills for a successful compliance career, while getting exposure to regional compliance programs.
Responsibilities will include the following:

  • SFC licensing requirements including individual and corporate license applications and timely notifications for the licensed corporation
  • Regular regulatory filings and surveys
  • Assistance with regular supervisory meetings including paper preparation, coordination and minute-taking
  • Delivery of basic compliance training and assistance with formal regulatory compliance training
  • Compliance record retention
  • Business advisory on our AML and Professional Investor Classification Program and review of KYC documentation
  • Review of marketing materials used in the Asia Pacific ex-Japan region
  • Taking on monitoring responsibilities as required


The individual may also be involved in the following:
  • Participation in department or firm-wide project-based initiatives
  • Cross coverage for colleagues as appropriate
  • At least 5 years of compliance experience, preferably including experience working for another blue chip investment management firm
  • Knowledge of SFC regulatory requirements applicable to asset managers
  • Knowledge of MAS requirements applicable to asset managers preferred
  • Be self-motivated, enthusiastic and intellectually curious
  • Exceptional organisational skills: ability to effectively prioritise tasks, produce consistently accurate work and meet strict deadlines
  • Strong communication and interpersonal skills
  • Team-oriented: ability to apply analytical and decision-making skills in a collaborative environment
  • Strong academic credentials
  • Chinese language skills are required

Compliance Analyst


Hong Kong

As an equal opportunity employer, Wellington Management considers all qualified applicants will receive 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 .