Compliance Analyst

Wellington Management•Boston, MA

13d•$80,000 - $150,000•Hybrid

About The Position

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)