U.S. Compliance 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 Compliance Co-op(s), working in collaboration with compliance professionals, attorneys, analysts, and administrative staff of the Legal, Compliance & Risk Department, will contribute to both ongoing initiatives and new short-term projects focused on regulatory developments, assessing the firm’s compliance programs and implementing enhancements (e.g., to policies, procedures, practices) and exam management.  As part of a group of legal and compliance professionals, the Co-op(s) will work with a variety of other internal and external professionals, including Global Relationship Management, Trading, Operations, and Investment Administration in researching regulatory requirements. 

RESPONSIBILITIES 

We are seeking one to one Co-op who will be assigned to both shared responsibilities and individual responsibilities unique to the Co-op’s specific focuses and strengths. Individual responsibilities span the spectrum of exposure to regulatory services or financial services. Responsibilities include, most recently: 

• Client Due Diligence Responsibilities 

• Assist with Material Non-Public Information Controls (MNPI) 

• Gap Analysis of Compliance Policies 

• Compliance Risk Assessments 

• Regulatory Research 

• Regulatory Rule Change Research 

• Record Retention 

• Broker Dealer Compliance Support 

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. A successful candidate for this role will possess a high degree of professionalism and have enthusiasm, 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. 

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. 

Candidates must have prior co-op experience, as this position requires a foundational understanding of professional workplace dynamics and responsibilities. 

Only Northeastern University students are eligible for this program.