Analyst, Americas Client Platform Compliance R90916

at Wellington Management Company in Chicago, Illinois, United States

Job Description

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.

Position overview

The Sales and Marketing Compliance Analyst will support Wellington Management’s sales and marketing compliance program, with a particular focus on our broker-dealer, Wellington Funds Distributors (WFD). The Compliance Analyst will be a member of the Legal, Compliance & Risk Group and will report to the WFD Compliance Officer.

Responsibilities

The Compliance Analyst’s principal responsibilities will include the following:

• Provide compliance support to the firm’s limited purpose broker-dealer (WFD)
• Maintain policies & procedures related to broker dealer and sales & marketing activities
• Support registration process for broker dealer registered reps
• Assist with Compliance testing related to broker-dealer and marketing procedures
• Assist with regulatory training of client-facing personnel
• Stay informed of regulatory changes and industry trends
• Evaluate marketing materials for compliance with applicable regulations
• Assist in responding to regulatory inquiries or examinations, as appropriate

Qualifications

• 2-4 years of relevant investment adviser experience and Bachelor’s degree. FINRA designations (i.e., SIE, Series 7 and Series 24) a plus.
• Familiarity with FINRA rules, Investment Advisers Act and other rules and regulations relevant to sales and marketing activities a plus
• Ability to manage multiple initiatives simultaneously; proactive, self-motivated and well-organized
• Strong attention to detail a must
• Intellectual curiosity; willingness to ask questions and ability to “connect dots”
• Strong understanding of and experience with data analysis tools
• Excellent written and oral communication skills

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.