Compliance Analyst

Wellington Management Company, LLP
Boston, USA
Jun 22, 2019
Jul 12, 2019
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 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.


The Sales and Marketing Compliance analyst support 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 Sales and Marketing Compliance.

  • Supporting Wellington's compliance program for the firm's Global Relationship, Investment Products & Strategies and Client Service groups
  • Providing compliance support to 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
  • Participating in regulatory training, where appropriate
  • Coordinating enhancements to supervisory processes, internal controls and internal testing
  • Responding to regulatory inquiries or examinations, as appropriate
  • Participating in key Legal and Compliance Group initiatives pertaining to the firm's sales and marketing activities, as appropriate

  • 7+ 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
  • Familiarity with FINRA, Investment Advisers Act and other rules and regulations relevant to sales and marketing activities
  • Strong business judgment
  • Global mindset
  • Excellent written and oral communication skills. Strong presentation skills and comfort presenting in large groups with senior business management
  • Strong understanding of and experience with data analysis tools
  • Creativity and ability to work under pressure
  • Ability to manage multiple initiatives simultaneously; Proactive, self-motivated and well-organized
  • Experienced and driven project manager; comfort with project management software

Compliance Analyst


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 .