Compliance Analyst

Employer
Wellington Management Company, LLP
Location
Boston, USA
Salary
Competitive
Posted
08 May 2022
Closes
07 Jun 2022
Ref
14295978
Job Function
Other
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
WELLINGTON MANAGEMENT

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.

We are transitioning to a hybrid work environment where both remote work and the office play a critical role. Our vision is a future where all employees are empowered to work flexibly to drive the best outcomes for our clients. Flexible work is a mindset and a core value. Our employees are encouraged to work remotely two days a week as a standard practice and will have flexibility in terms of working hours.

Position

This Compliance Analyst role 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 Americas Client Platform Compliance team within the Legal and Enterprise Risk Group.

Responsibilities
  • Aid in execution of the firm's program for the review and supervision of marketing activities, with respect to both funds and separate accounts marketed in the US;
  • 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;
  • 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;
  • Assess compliance risks related to the firm's marketing activities and communicate effectively with the business, including members of senior management;
  • 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.
Qualifications
  • Undergraduate degree and minimum of 2 - 5 years of experience with an investment adviser, broker-dealer and/or compliance consultant, to include experience with marketing reviews;
  • Some experience with privately-offered fund sales activities and materials is preferred;
  • 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;
  • 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 SIE/Series 7 is strongly preferred. Candidate must have or obtain SIE, Series 7 and Series 24 licenses after employment.
Not sure you meet 100% of our qualifications? That's ok. If you believe that you could excel in this role, we encourage you to apply and welcome a chance to review your background. We are dedicated to building and maintaining a diversified workforce and considering a broad array of candidates with a variety of skill, workplace experiences, and backgrounds.

As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal 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 GMCANINQ@wellington.com .

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