Analyst, Americas Client Platform Compliance

About the Role

Compliance analyst, client platform Compliance

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 Manager 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 .

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 65,000 - 150,000

This 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 / CFAreimbursement and paid time off (leave of absence, paid holidays, volunteer, sick and vacation time)