Marketing Compliance Senior Analyst

Wellington Management • Boston, MA

5d • $90,000 - $180,000 • Hybrid

About The Position

This Marketing Compliance Senior Analyst role will support and enhance the firm’s US Marketing Compliance Program focusing primarily on compliance review of marketing materials for alternative investments and registered funds, advising stakeholders on the regulatory implication of complex marketing initiatives and maintaining relevant policies and procedures. This position is open to candidates in Boston and New York. The Marketing Compliance Senior Analyst will be a member of the Americas Sales & Marketing Compliance team within the Legal and Compliance Group.

Requirements

• 5+ years of relevant investment adviser, investment company compliance or compliance consultant experience
• Bachelor's degree in finance, business administration, economics, marketing, or other related field of study
• Experience reviewing marketing materials for 40 Act registered funds and/or alternative investment products including hedge funds and private investments products
• Expertise in rules and regulations applicable to marketing activities with an emphasis on Investment Company Act, SEC Marketing Rule, FINRA Rule 2210, Rule 482
• Ability to apply analytical and decision-making skills in a collaborative and fast paced environment
• Ability to exercise sound judgement, balance regulatory and policy standards with a business perspective
• Ability to effectively prioritize tasks, consistently execute and meet strict deadlines
• Strong written and oral communication skills; confidence interacting with all levels of management
• Must have FINRA SIE, Series 7, and Series 24; candidate can obtain Series 24 after hire

Nice To Haves

• Experience in various technology and AI tools to strengthen internal processes and reporting

Responsibilities

• Review marketing materials for alternative investments and registered funds to ensure compliance with regulatory guidelines including the Investment Company Act, SEC Marketing Rule, Rule 482, FINRA 2210 rule and internal policies and guidelines
• Provide regulatory advice to stakeholders on the application of the firm’s marketing guidelines related to the Investment Company Act
• Assist with drafting appropriate disclosures
• Conduct testing for compliance with applicable regulations and marketing policies and procedures
• Partner with EMEA and APAC compliance colleagues to maintain a coordinated approach over the firm’s global marketing compliance program and tools
• Monitor regulatory marketing-related developments, proposals and amendments and assess the compliance risk to the firm’s activities
• Assess compliance risks related to the firm’s marketing activities and communicate effectively with the business, including senior management
• Partner with business stakeholders to develop and deliver training, awareness initiatives, and related communications
• Maintain the firm’s marketing policies and procedures
• Assist with responding to examinations and inquiries by internal and external parties
• Assist with the maintenance of Marketing Compliance related applications.

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)

What This Job Offers

• Job Type: Full-time
• Career Level: Senior