Client Regulatory Analyst

Wellington Management Company, LLP
Boston, USA
14 Sep 2021
23 Sep 2021
Job Function
Industry Sector
Finance - General
Employment Type
Full Time

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 60 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.

The Company
Tracing our roots to 1928, Wellington Management Company, LLP is one of the world's largest independent investment management firms. With US$1 trillion in assets under management, we serve as a trusted adviser to institutional clients and financial intermediaries in over 50 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.
Team Description
The Client Regulatory Analyst is a client facing role that sits within the Due Diligence Services team - a center of knowledge that supports the firm's US mutual fund (aka subadvisory) clients, on point for developing relationships with clients' Chief Compliance officer and their staff, hosting and coordinating clients' due diligence meetings and providing the '40 Act regulatory reporting and information that their Boards need. This client channel represents a large and important segment of the firm's business.

The DDS team is a specialty client facing team, which works alongside the primary relationship team, engages with clients on hot topics, new regulations and ad hoc inbound queries across a range of topics such as Commissions/Best Execution, Cross Trading, Liquidity, Proxy Voting, Code of Ethics and Business Continuity and Cybersecurity. Team members engage with colleagues across the firm in areas including Legal & Compliance, Trading, Third Party Risk, Operations and IT.
Job Description
The analyst will work closely with the members of the DDS team, colleagues in the Client Group - US Financial Intermediaries Group (USFIG), Legal and Compliance, Trading, and others to make sure mutual fund compliance and other regulatory reports and requests are appropriate, well understood, and completed in a timely and accurate manner. In addition, they will interact directly with clients as the primary compliance reporting contact. Analysts will also prepare for and participate in client due diligence meetings.
  • Prepare compliance and regulatory reports primarily for US mutual fund clients and handle client requests on these topics
  • Develop an expertise in the subadvisory channel related to client regulatory priorities and reporting requirements.
  • Continued learning around US mutual funds regulations to be able to interpret and understand client requests
  • Contribute to client due diligence meetings by coordinating completion of due diligence questionnaires and meetings for mutual fund clients along with preparing for and attending the meetings
  • Peer review client deliverables completed by the team as needed to ensure accuracy, data reasonability, etc.
  • Willingness to pitch in during peak periods across the team.
  • Contribute to project work and initiatives that advance the group and firm forward.
  • Help to ensure consistency and best practice across our compliance and regulatory reporting to clients
  • Proactively identify needed enhancements for reports and systems and assist in cross-functional efforts to develop solution.
The Client Regulatory Analyst will have at least 2-5 years professional experience within the investment management industry. Previous experience supporting client relationships and knowledge of the '40 Act are viewed positively as is work towards the CFA/MBA. Relevant professional work experience includes (but is not limited to) mutual fund client reporting, compliance, operational due diligence or subadvisor oversight or fund accounting setting. Sound business judgement, strong communication skills, and the ability to express oneself in both individual and group settings are important. Candidates should have or do the following:
  • Demonstrate a good understanding of financial assets and markets to facilitate comprehension of client inquiries around a wide range of instruments (stocks, bonds, derivatives)
  • Strong academic credentials.
  • Strong written and verbal communication skills
  • Strong collaborative, time management, project management, and organizational skills.
  • Attention to detail: The ability to not only pull data from the various applications available, but to take a step back and be able to understand whether the data makes sense and consistently produce accurate and timely deliverables.
  • The ability to work independently, in a fast-paced and team-oriented environment, where priorities change frequently, and deadlines are often under significant time pressure.
  • A personable nature with a positive, collegial attitude and a high level of professionalism are essential.
  • The position requires extensive use of internal and external systems and databases, and proficiency with Microsoft Word, Excel and PowerPoint.

Client Regulatory Analyst

280 Congress

As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal 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 .
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