Compliance and Risk Management
Thorough — and Transparent
Relationships between investment managers and their clients are built on trust. Given the increasingly complex nature of global investment markets and regulatory environments, gaining that trust requires knowledge and detailed information on how an asset manager conducts its business. In that spirit, we take an open and transparent approach to client communications about compliance and risk management. We meet regularly with clients to explain our progress and practices, as well as issuing publications and hosting forums that focus on compliance and risk management topics.
As a firm, we use an enterprise-wide approach to risk management. The approach incorporates both bottom-up and top-down elements in order to capture the full range of investment, operational, and regulatory risks. For example, in addition to a dedicated staff of risk management and compliance professionals, cross-functional senior management teams provide the all-important element of integration and oversight at the highest levels. At the same time, expertise on local regulatory and risk issues is provided by our regionally based compliance teams.
We seek to be a leader, an innovator, and a symbol of integrity in the investment management industry.
—Wellington Management Goals, Strategy, and Culture Statement