Compliance Analyst Forensic Testing

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Position Description

TESTING & ANALYTICS ANALYST – FORENSIC TESTING

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DESCRIPTION
The Testing & Analytics Analyst will support the program relating to the testing, surveillance, and monitoring of current and
emerging regulatory compliance risks that arise in the ordinary course of our business.

The Testing & Analytics Analyst will be a member of the Legal and Enterprise Risk Group working under the direction of the Testing
& Analytics Officer and with other testing, operational risk and regulatory compliance professionals.

RESPONSIBILITIES
The Testing & Analytics Analyst’s responsibilities will include the following:
• Conduct testing and surveillance of firm activity using forensic testing methodologies, such as data analytics and patterned-based
testing
• Analyze testing results to confirm consistency with the firm’s compliance policies, procedures and controls and to identify activity
falling outside of those controls
• Monitor for potential suspicious activity and escalate and report results accordingly
• Support initiatives to enhance current forensic testing and surveillance and identify and design additional testing to address the
firm’s regulatory and compliance risks
• Interact with business representatives and other key constituents to gain an understanding of the controls and processes under
review
• Execute global and local program and regulatory tests to assess compliance with and detect violations of policy, regulation, and
law in support of the firm’s global compliance programs
• Participate in the analysis, evaluation, and formulation of conclusions and document test results and conclusions
• Support enhancements to testing and surveillance tools/applications by coordinating with Information Technology

QUALIFICATIONS
The successful candidate will possess the following qualifications:
• College undergraduate degree with 5-or more years of analytics or testing related experience
• Experience with regulatory forensic testing and surveillance techniques, with a specific focus on the asset management
industry preferred
• Knowledge of asset management compliance program related rules and regulations
• Knowledge of trading, securities markets, and investment products
• Inquisitive mindset - appropriate level of skepticism and curiosity
• Strong analytical and problem-solving skills
• Highly comfortable with data preferred (e.g., advanced excel, SQL, Tableau or other data analytics tools)
• Highly organized and detail-oriented; demonstrated planning and organizational skills
• Ability to manage multiple initiatives simultaneously
• Strong written and oral communication/presentation skills
• Knowledge/familiarity with compliance-related technologies
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WELLINGTON MANAGEMENT COMPANY LLP

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• Capable of instilling confidence with senior management and legal team


• Global outlook

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