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 RolePosition 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 [email protected].
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 - 150,000This range takes into account the wide range of factors that are considered when making compensation decisions, including but not limited to skill sets; role; skills and experience; certifications; and education. This range is an estimate, and further details on salary and total compensation aspects will be shared with candidates during the recruitment process.
Base salary is only one component of Wellington’s total compensation approach. Other rewards may include a discretionary Corporate Bonus and/ or Incentives, if eligible. In addition, we offer a comprehensive and high value benefit package to meet the unique needs of our employees and their families, and we are committed to fostering a flexible work environment that enables employees to thrive personally and professionally. Examples of our benefits include retirement plan, health and wellbeing, dental, vision, and pharmacy coverage, health savings account, flexible spending accounts and commuter program, employee assistance program, life and disability insurance, adoption assistance, back-up childcare, tuition/CFA reimbursement and paid time off (leave of absence, paid holidays, volunteer, sick and vacation time)
We believe that in person interactions inspire and energize our community and are essential to our culture. In support of this commitment, our employees work from our offices 4 days a week with flexibility to work remotely 1 day a week. We believe that this approach ultimately supports our mission to deliver investment excellence to our clients and their beneficiaries over the long term.
Skills Required
- 2-4 years of relevant broker-dealer compliance experience
- Bachelor's degree
- FINRA designations such as SIE, Series 7, and Series 24
- Familiarity with FINRA rules, the Investment Advisers Act, and regulations relevant to U.S. sales and marketing activities
- Ability to manage multiple initiatives simultaneously
- Proactive, self-motivated, and well-organized work style
- Strong attention to detail
- Strong understanding of and experience with data analysis tools
- Excellent written and oral communication skills
Wellington Management Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Wellington Management and has not been reviewed or approved by Wellington Management.
-
Retirement Support — Employer-funded retirement contributions and profit-sharing are frequently highlighted as standout elements of the package. The retirement program is often described as unusually strong and a major pillar of total rewards.
-
Healthcare Strength — Medical, dental, vision, and related coverage are characterized as comprehensive and well-regarded. Core health benefits are seen as a meaningful contributor to overall satisfaction.
-
Parental & Family Support — Parental leave and family supports are described as generous compared to common U.S. norms. Exact durations can vary by location or role, but family-related time off is consistently called out as a strength.
Wellington Management Insights
What We Do
For almost 100 years, we have chosen to do things differently, including the way we structure our ownership model, organization, and investment platform. Critically, we know that the best investment ideas are found when a diverse workforce is encouraged to bring forward unique perspectives. Wellington Management is one of the world’s largest independent investment management firms, serving as a trusted adviser to over 2,400 clients in more than 60 countries. We manage more than US$1 trillion for pensions, endowments and foundations, insurers, family offices, fund sponsors, global wealth managers, and other clients. We offer comprehensive investment management capabilities that span nearly all segments of the global capital markets, including global equity, fixed income, currency, commodity, alternatives, and private markets. Leveraging more than 900 investment professionals located in offices around the world, we combine independent insights across asset classes, skill sets, and investment disciplines to uncover ideas for our clients, because we believe collaboration is a rare, repeatable competitive edge. This independent structure and collegial culture are two of the main reasons investment professionals join Wellington Management — and stay for their entire careers. For current open opportunities, please visit www.wellington.com/joinus We are an equal opportunity employer and are committed to having a diverse workforce. Please visit http://www.wellington.com to learn more about our firm. Important disclosure: https://www.wellington.com/en/important-disclosure Wellington will not send unsolicited communications and investment opportunities initiated through social media platforms. Wellington does not perform business transactions, payment requests, or direct interactions through social media platforms. Please visit https://www.wellington.com/en/legal/privacy-notice for more information.
