Marketing Compliance Senior Analyst

Wellington Management•Boston, MA

22h•Hybrid

About The Position

Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients. Wellington manages approximately $1.2 trillion in public investments. 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 registered funds, advising stakeholders on the regulatory implication of complex marketing initiatives and maintaining relevant policies and procedures. 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
Direct experience reviewing marketing materials for 40 act registered funds
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

Privately offered fund marketing compliance experience a plus
Experience using data analysis tools and/or other technology solutions to strengthen internal processes and reporting a plus

Responsibilities

Review marketing materials for 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

salary
variable compensation
retirement plan
health and wellbeing
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)
discretionary Corporate Bonus and/ or Incentives