Mgr, Compliance - Sales & Marketing

WELLINGTON MANAGEMENT

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.

POSITION

                         

The Sales and Marketing Compliance Manger will lead Wellington Management's sales and marketing compliance program. The Compliance Manager will be a member of the Legal and Compliance Group and will report to the Manager of Investment Adviser Compliance.

Responsibilities

The Compliance Manager's principal responsibilities will include the following:

• Designing and overseeing Wellington's compliance program for the firm's Global Relationship, Investment Products & Strategies and Client Service groups
• Overseeing the team responsible for reviewing the firm's pooled vehicle and separately managed account marketing materials for compliance with SEC, FINRA, and related internal policies
• Providing compliance oversight over the firm's limited purpose broker-dealer, Wellington Management Advisers
• Providing advice and support to personnel with respect to applicable regulations, and firm policies and procedures
• Drafting relevant policies and procedures
• Developing and delivering regulatory training
• Recommending enhancements to supervisory processes, internal controls and internal testing
• Responding to regulatory inquiries or examinations, as appropriate

• Working closely with the firm's Legal Department to interpret and apply relevant laws, regulations and rules
• Leading key Legal and Compliance Group initiatives pertaining to the firm's sales and marketing activities, as appropriate

Qualifications

• 10+ years of relevant investment adviser experience and Bachelor's degree. J.D., FINRA designations (i.e. Series 7 and Series 24) and professional designation (e.g. CFA) a plus
• Deep familiarity with FINRA, Investment Advisers Act and other rules and regulations relevant to sales and marketing activities
• Prior success developing and implementing technology solutions to strengthen internal controls
• Exceptionally strong business judgment
• Excellent written and oral communication skills.  Strong presentation skills and comfort presenting in large groups with senior business management
• Ability to influence outcomes through collaboration and well defined advice
• Ability to apply analytical and decision-making skills in a collaborative and fast-paced environment
• Strong understanding of and experience with data analysis tools
• Proactive, self-motivated and well-organized

JOB TITLE
Mgr, Compliance - Sales & Marketing

JOB FAMILY
Compliance

LOCATION
280 Congress

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 GMCANINQ@wellington.com .