Principal, Investment Compliance
About The Position
The Principal, Investment Compliance is a senior functional leader and subject matter authority within Wellington Management’s Guideline Monitoring team, part of Investment Operations in Global Operations. The team provides investment teams with the data, controls, technology, and operational partnership needed to execute investment intent in accordance with client guidelines, regulatory obligations, and internal risk standards. The role combines regulatory expertise, operational oversight, strategic influence, and mentorship. The Principal serves as an escalation point for complex compliance matters, advises senior stakeholders across the firm, and drives continuous improvement in compliance monitoring capabilities, systems, and processes. The position has no formal people-management responsibilities, but requires leadership through influence, coaching, and enterprise partnership. The position is based in an in-person work environment: employees work from the office four days a week and may work remotely one day a week.
Requirements
- 12 or more years of experience in asset management compliance, guideline monitoring, or investment operations.
- Deep knowledge of multiple asset classes, including equities, fixed income, derivatives, and alternative investments.
- Extensive experience interpreting client investment guidelines and implementing automated compliance rules.
- Strong working knowledge of relevant regulatory regimes, including the Investment Company Act of 1940, Investment Advisers Act, ERISA, UCITS, AIFMD, and other global regulations.
- Leadership through influence, including experience mentoring colleagues and driving cross-functional initiatives.
- Strategic thinking and the ability to balance detailed technical analysis with broader business considerations.
- Strong project leadership capabilities, including managing cross-functional initiatives to successful outcomes.
- Highly analytical, detail-oriented, and controls-focused, with strong problem-solving skills.
- Effective communication with senior stakeholders, including executive presence and sound judgment.
- Strong academic credentials.
- Technical proficiency in compliance systems and data tools, such as Sentinel, SQL, PowerBI, Excel, and workflow automation platforms.
Nice To Haves
- An advanced degree or professional designation, such as CFA, CPA, or JD.
Responsibilities
- Serve as a senior subject matter expert and thought leader within Guideline Monitoring.
- Mentor, coach, and provide technical guidance to Analysts and Principals, and contribute to talent development, training, and knowledge-sharing initiatives.
- Promote a strong controls culture, accountability, and operational excellence.
- Act as a senior escalation point for complex pre- and post-trade guideline matters and help drive timely, risk-conscious resolutions.
- Oversee interpretation of Investment Management Agreements, prospectuses, and regulatory requirements for implementation in the compliance monitoring system, such as Sentinel.
- Provide technical oversight and challenge on complex guideline coding, monitoring rules, and account setup processes.
- Review material breaches, emerging risk indicators, and thematic trends to strengthen the control environment.
- Partner with Legal, Compliance, Risk, and Investment teams to assess regulatory developments and implement monitoring enhancements.
- Provide expertise on complex instruments, including derivatives, structured products, and alternative investments.
- Lead root cause analyses for significant issues and recommend control enhancements to prevent recurrence.
- Drive strategic enhancements to guideline monitoring infrastructure, automation, data governance, and reporting.
- Partner with Technology and Product teams to expand testing frameworks, improve system functionality, and strengthen pre- and post-trade controls.
- Promote process optimization and scalable solutions that support business growth and product innovation.
- Contribute to development and execution of the team’s multi-year roadmap, aligned with firm-wide priorities.
- Establish best practices and promote consistency across asset classes and regions.
- Serve as a senior liaison to Portfolio Managers, Product Management, Client Relationship Teams, Legal Services, Risk, and Technology.
- Provide subject matter expertise in client due diligence discussions, internal governance forums, and regulatory inquiries, as appropriate.
- Explain complex guideline interpretations and regulatory impacts clearly to senior stakeholders.
- Represent Guideline Monitoring in cross-functional initiatives and working groups.
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 and disability insurance
- Adoption assistance
- Back-up childcare
- Tuition/CFA reimbursement
- Paid time off, including leave of absence, paid holidays, volunteer, sick, and vacation time
- Salary and variable compensation; employees may also be eligible for a discretionary Corporate Bonus and/or incentives
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What This Job Offers
Job Type
Full-time
Career Level
Principal
Education Level
No Education Listed
