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 50 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.
The Compliance Analyst will help implement the firm's compliance program with respect to its marketing activities, including the design, implementation and execution of relevant policies and procedures. The Compliance Analyst will be a member of the Regulatory Compliance team within the Legal and Compliance Group working under the direction of the Compliance Manager and with other attorneys and compliance professionals.
The Compliance Analyst's responsibilities include:
Aid in execution of the firm's program for the review and supervision of marketing activities;
Provide advice on the application of the firm's marketing guidelines to business representatives in their preparation of marketing materials and other external communications;
Perform reviews of marketing materials for and conduct testing of compliance with applicable regulations and marketing policies and procedures;
Assess compliance risks related to the firm's marketing activities and communicate effectively with the business, including members of senior management;
Coordinate with global compliance professionals to maintain a consistent and global compliance program over the firm's marketing activities;
Monitor regulatory developments regarding advertising and marketing and assess impact to the firm's activities as appropriate;
Liaise effectively with business representatives on training, awareness and communication needs. Develop and deliver such trainings and communications as appropriate;
Maintain and revise the firm's marketing policies and procedures and related training content;
Assist with examinations and reviews by internal and external parties;
Perform special projects and other duties as assigned.
Undergraduate degree and minimum of 2 - 5 years of experience with an investment adviser, broker-dealer and/or compliance consultant, preferably to include experience with marketing reviews;
Knowledge of rules and regulations applicable to marketing and communications activities with an emphasis on SEC, FINRA, CFTC and NFA advertising and sales literature compliance;
Knowledge about comparable non-US laws and regulations and GIPS® standards and guidelines preferred;
Team-oriented: ability to apply analytical and decision-making skills in a collaborative environment;
Service oriented: ability to balance regulatory and policy standards along with a business perspective; ability to work well in a fast-paced environment;
Exceptional organizational skills: ability to effectively prioritize tasks, produce consistently accurate work and meet strict deadlines;
Superior written and oral communication skills; confidence interacting with all levels of management;
FINRA Series 7 and Series 24 (candidate must have or obtain after employment).
JOB TITLE Compliance Analyst
JOB FAMILY Compliance
LOCATION 280 Congress
As an equal opportunity employer, Wellington Management considers all qualified applicants will receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law. If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at Wellington@icareerhelp.com .