Guideline Monitoring Analyst

Wellington Management Company, LLP
Boston, USA
08 Aug 2022
07 Sep 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time

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.
The Guideline Monitoring Analyst ("The Analyst") will be part of the Investment Implementation Team within the Investment Services and Technology group (InvesTech). InvesTech brings technology and operations together to deliver better, more efficient outcomes for our clients and business partners. In addition to Investment Implementation, InvesTech is comprised of the Infrastructure Design, InvesTech Operations, and Technology teams.

  • The Analyst will focus on providing support to investment teams, to ensure that investment transactions and holdings are compliant with client guidelines and regulatory requirements
  • The Analyst will be part of the team that:
  • Reviews Investment Management Agreements, evaluates client guidelines, and maintains the guideline monitoring system, Sentinel,
  • Performs real-time, pre-trade support with investors, and
  • Resolves post-trade incident exceptions generated from Sentinel
  • The Analyst will work collaboratively with other Guideline Monitoring Analysts, as well as other internal teams, specifically our Global Relationship Teams, Product Management and Portfolio Management, to develop a deep understanding of investment strategies relative to client guidelines and regulatory requirements
  • Demonstrate a working knowledge of investment types, including equity and fixed income products, and derivative securities
  • Prior Guideline Monitoring, Investment Operations, or Investment Compliance experience and/or an understanding of different regulatory regimes would be advantageous but not required
  • Be self-confident, a self-starter, results driven, energetic, have an inquisitive mind, and be controls conscious
  • Have strong organizational skills, an ability to manage assignments with competing priorities, excellent communication skills, and the ability to work both independently and as a member of a team.
  • Have strong attention to detail and computer literacy (knowledge of Word, Excel, and similar tools)
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 .

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