Investment Compliance Analyst
About The Position
Wellington Management is seeking an Investment Compliance Analyst to join the Investment Operations Team within Global Operations. This division integrates technology and operations to enhance client and business partner outcomes. The firm, founded in 1928, is one of the world's largest independent investment management firms with over USD $1 trillion in assets under management as of June 30, 2025. They serve institutional clients and mutual fund sponsors globally, offering innovative investment solutions across various capital markets. As a private partnership, Wellington Management emphasizes a long-term perspective and a commitment to attracting a diverse and inclusive workforce, believing that diverse perspectives lead to better decisions.
Requirements
- Demonstrate a working knowledge of investment types, including equity and fixed income products, and derivative securities.
- Energetic, self-confident, and possess an inquisitive mind.
- A self-starter who is results-driven and controls conscious.
- Possess strong organizational skills and proven ability to manage assignments with competing priorities.
- Exhibit strong interpersonal and communicative abilities.
- Demonstrated capability to perform both independently and collaboratively.
- Possess 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, or an 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, 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
Mid Level
Education Level
No Education Listed
