Compliance Analyst
About The Position
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 Compliance Analyst will support Wellington Management’s broker dealer compliance program. The Compliance Analyst will be a member of Wellington’s Legal & Compliance group.
Requirements
- 2-4 years of relevant broker dealer compliance experience and bachelor’s degree
- Ability to manage multiple initiatives simultaneously; proactive, self-motivated and well-organized
- Strong attention to detail
- Intellectual curiosity; willingness to ask questions and ability to “connect dots”
- Strong understanding of and experience with data analysis tools
- Excellent written and oral communication skills
Nice To Haves
- FINRA designations (i.e., SIE, Series 7 and Series 24) a plus
- Familiarity with FINRA rules, Investment Advisers Act and other rules and regulations relevant to US sales and marketing activities a plus
Responsibilities
- Providing compliance support to the firm’s limited purpose broker-dealer Wellington Funds Distributors Inc. (WFD)
- Maintaining policies & procedures related to broker dealer and sales & marketing activities
- Supporting registration process for broker dealer registered reps
- Assisting with Compliance testing related to broker-dealer and marketing procedures and practices
- Assisting with regulatory training of client-facing personnel
- Staying informed of regulatory changes and industry trends and business
- Assisting in responding to regulatory inquiries or examinations, as appropriate
Benefits
- retirement plan
- health and wellbeing
- dental
- vision
- pharmacy coverage
- health savings account
- flexible spending accounts
- commuter program
- employee assistance program
- life and disability insurance
- adoption assistance
- back-up childcare
- tuition/CFA reimbursement
- paid time off (leave of absence, paid holidays, volunteer, sick and vacation time)
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
