Marketing Compliance Senior Analyst

About Us

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.

About the Role

Company

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 55 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. 

Position

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.

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.

 

Qualifications                  

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

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 GMWTalentOperations@wellington.com.

At Wellington Management, our approach to compensation is designed to help us attract, inspire and retain the best talent in our industry. We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary, variable compensation, and benefits. The base salary range for this position is:

USD 90,000 - 180,000