Investment Compliance 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 globally and offer innovative investment solutions across various capital markets. As a private partnership, they focus on a long-term perspective and are committed to fostering a diverse, inclusive, and collaborative culture. The Investment Operations division, within Global Operations, aims to deliver efficient outcomes by integrating technology and operations. This role is part of the Investment Operations Team and focuses on ensuring investment transactions and holdings comply with client guidelines and regulatory requirements.
Requirements
- Working knowledge of investment types, including equity and fixed income products, and derivative securities.
- Energetic, self-confident, and inquisitive.
- 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 are compliant with client guidelines and regulatory requirements.
- Review Investment Management Agreements.
- Evaluate client guidelines.
- Maintain the guideline monitoring system, called 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/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
