Guideline Monitoring Senior Analyst
About The Position
Wellington Management is a large independent investment management firm with over USD $1 trillion in assets under management. They serve institutional clients and mutual fund sponsors in over 60 countries. The firm offers innovative investment solutions based on proprietary research across various capital markets. As a private partnership, Wellington Management focuses on a long-term perspective aligned with client interests. They are committed to attracting a diverse workforce and fostering an inclusive culture. The company is currently seeking a Senior Guideline Monitoring Analyst to join the Investment Operations Team within Global Operations. This division aims to improve client and business outcomes through technology and operations.
Requirements
- 4-7 years of industry experience.
- Bachelor's degree in Finance or Business-related field.
- Working knowledge of investment types, including equity and fixed income products, and derivative securities.
- Energetic, self-confident, and possess an inquisitive mind.
- Self-starter who is results-driven and controls conscious.
- Strong organizational skills and proven ability to manage assignments with competing priorities.
- Strong interpersonal and communicative abilities.
- Demonstrated capability to perform both independently and collaboratively.
- Excellent attention to detail.
- Strong proficiency in computer skills and digital literacy, particularly with Word, Excel, and similar software applications.
Nice To Haves
- Prior experience in guideline monitoring, investment operations or compliance.
- Understanding of different regulatory regimes.
Responsibilities
- Provide support to investment teams to ensure investment transactions and holdings comply with client guidelines and regulatory requirements.
- Review Investment Management Agreements.
- Evaluate client guidelines.
- Maintain the guideline monitoring system, Sentinel.
- Perform real-time, pre-trade support with investors.
- Resolve post-trade incident exceptions generated from Sentinel.
- Collaborate with other Guideline Monitoring Analysts and internal teams, including Global Relationship Teams, Product Management, and Portfolio Management.
- Develop a deep understanding of investment strategies relative to client guidelines and regulatory requirements.
Benefits
- Retirement plan
- Health and wellbeing coverage
- Dental coverage
- Vision coverage
- Pharmacy coverage
- Health savings account
- Flexible spending accounts
- Commuter program
- Employee assistance program
- Life insurance
- Disability insurance
- Adoption assistance
- Back-up childcare
- Tuition reimbursement
- 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
Senior
