Code of Ethics, Legal, Compliance, and Risk Co Op

THE COMPANY 

Tracing our roots to 1928, Wellington Management Company, LLP (WMC) is one of the world’s largest independent investment management firms. With over $1 trillion in assets under management, we serve as a trusted adviser to institutional clients and mutual fund sponsors in over 60 countries. Our innovative investment solutions are built on the strength of proprietary, independent research and span nearly all segments of the global capital markets, including equity, fixed income, multi-asset, and alternative strategies. As a private partnership whose sole business is investment management, our long-term views and interests are aligned with those of our clients. We are committed to attracting a talented and diverse workforce, and to fostering an open, collaborative culture of inclusivity because we believe multiple perspectives lead to more informed investment and business decisions. As an Equal Opportunity Employer, we welcome people with diverse life experiences, fresh ideas, and specialized subject- matter expertise. 

THE POSITION 

The Co-Op will be split between the Investment Platform Legal Team, working in collaboration US, and Global Counsel, Associates and administrative staff of the Legal, Compliance & Risk Department and the Regulatory Reporting – Code of Ethics Team which is responsible to administration of the Firm’s Code of Ethics Policy. The Firm’s Code of Ethics Policy is the policy that relates to ethical conduct, and addresses certain areas of conflict of interest, including personal investing, receipt of gifts and entertainment, and outside activities. The Code of Ethics team is also responsible for monitoring compliance with the firm’s Policy and Procedures Regarding Political Contributions. The Co-Op will contribute to both ongoing initiatives and new short-term projects, regulatory 

developments, corporate governance, and counterparty documentation related to equity, fixed income and derivatives transactions. As part of a group of legal services professionals, the Co-op will work with a variety of other internal and external professionals, including Global Relationship Management, Trading, Operations, and Investment Administration in providing client documentation, researching internal information, and researching regulatory requirements. 

RESPONSIBILITIES 

Responsibilities on the Code of Ethics and Legal team includes: 

• Responding to questions from employee regarding the Firm’s Code of Ethics Policies/Program 

• Supporting process, system and data dependent elements of the broker account lifecycle in the Code of Ethics program 

• Collaborating with EMEA and APAC compliance colleagues, Operational Risk, and Internal Audit to drive coordinated outcomes in the above areas 

• Create and maintain data visualizations and reporting tools to improve operational transparency and decision-making. 

• Identify opportunities to improve and automate compliance processes through workflow enhancements and data-driven insights.  

• Support other key Legal, Compliance and Risk Group initiatives 

• Create and maintain operational procedures 

• Client and Entity Document Review, Production and Research 

• Database Population & Document Management 

• Gap Analysis 

• Record Retention 

• Signature Coordination 

• Legal & Regulatory Research 

QUALIFICATIONS 

Working in this role requires a high degree of organizational and problem-solving skills given the project nature of the role. The individual must be self-motivated and detail-oriented, with an ability to prioritize ongoing and time sensitive goals. They should have the ability to exercise discretion and maintain confidentiality, be deadline-driven with ability to manage multiple initiatives simultaneously, and the ability to work in a fast-paced environment. A successful candidate for this role will be possess a high degree of professionalism and have enthusiasm, while having strong analytical skills and good judgement, an eagerness to learn, interest in financial markets, and a sense of humor.  

Strong academic credentials are required. A legal or financial services focus is preferred. Candidates should be proficient in Microsoft Excel, Word, and PowerPoint and possess excellent written and verbal communication skills. Experience with data visualization (e.g., Power BI), process automation (e.g., Power Automate), and analysis of large datasets is preferred. 

Please note: This co-op position entails cross-training to ensure optimal performance across functions. The anticipated start date for accepted candidates is December 2026/January 2027