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

Position Overview

The Compliance Analyst will support Wellington Management’s broker dealer compliance program. The Compliance Analyst will be a member of Wellington’s Legal & Compliance group.

Responsibilities
The Compliance Analyst’s principal responsibilities will include:
•Providing compliance support to the firm’s limited purpose broker-dealer Wellington Funds Distributors Inc. (WFD)
•Maintaining policies & procedures related to broker dealer and sales & marketing activities
•Supporting registration process for broker dealer registered reps
•Assisting with Compliance testing related to broker-dealer and marketing procedures and practices
•Assisting with regulatory training of client-facing personnel
•Staying informed of regulatory changes and industry trends and business
•Assisting in responding to regulatory inquiries or examinations, as appropriate

Qualifications
•2-4 years of relevant broker dealer compliance 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 US sales and marketing activities a plus
•Ability to manage multiple initiatives simultaneously; proactive, self-motivated and well-organized
•Strong attention to detail
•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.

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 80,000 - 150,000