Senior Compliance Analyst, EMEA

Wellington Management; Frankfurt; Hybrid; EUR 60.000 - 80.000; Vollzeit

Zusammenfassung

A global investment management firm in Frankfurt is seeking a Compliance Professional to support sales and marketing compliance programs, focusing on cross-border distribution activities and marketing content. The ideal candidate will have a strong compliance background with at least 3 years of experience, fluency in German and English, and will work closely with teams across EMEA. This role offers a hybrid working model, allowing for 1 day remote.

Qualifikationen

• Minimum 3 years of relevant experience in compliance or product marketing within investment management or financial services.
• Effective communication skills to advise teams and influence outcomes.
• Ability to work under pressure, independently and collaboratively.

Aufgaben

• Review fund marketing and brand promotional materials.
• Provide day-to-day advice to sales and marketing teams on compliance.
• Develop and maintain marketing guidelines and checklists.

Kenntnisse

Compliance experience

Effective communication

Regulatory knowledge

Fluent in German

Fluent in English

Ausbildung

University degree

Jobbeschreibung

About the Role

THE POSITION

We are seeking a compliance professional to support our sales and marketing compliance program, focusing on cross-border distribution activities, marketing content, and sales practices. Based in Frankfurt and working closely with the London-based Marketing Compliance team, the role involves advising local and regional sales teams on compliance matters, monitoring cross-border regulations across EMEA, reviewing financial promotion content, and updating relevant policies, procedures, and guidance. The position also supports the compliance program of Wellington Management’s EU-based investment management firm, Wellington Management Europe GmbH ("WME"). The Senior Analyst will report to WME’s Chief Compliance Officer and collaborate with the broader London-based EMEA Compliance team and global Marketing Compliance colleagues in the Americas and APAC.

Responsibilities

1. Review fund marketing and brand promotional materials, including German language content.
2. Provide day-to-day advice to the EMEA sales and marketing teams on marketing content and distribution requirements across the region (EU, UK, Switzerland, Dubai), and support marketing teams in the US and APAC.
3. Develop and maintain marketing guidelines, Q&A’s, checklists, and country-specific marketing memos.
4. Execute monitoring and testing of marketing materials.
5. Identify, assess, and communicate regulatory developments related to financial promotions and fund marketing/distribution.
6. Develop and deliver compliance training, both in-person and online.
7. Support WME and its branches with regulatory filings, audits, and inspections.

Qualifications

1. Minimum 3 years of relevant experience in compliance or product marketing within investment management or financial services, especially related to fund promotions and distribution.
2. Effective communication skills to advise sales and marketing teams, influencing outcomes and mitigating risks.
3. Demonstrated career growth and commitment to professional development.
4. Business and growth-oriented mindset, balancing regulatory and commercial needs.
5. Ability to work under pressure, independently and collaboratively.
6. Fluency in German and English; Italian skills are a plus.
7. Strong academic background with a university degree.

We encourage candidates who believe they can excel in this role, even if they don't meet 100% of the qualifications, to apply. Wellington Management is committed to diversity and equal opportunity employment.

Our employees work from offices 4 days a week with 1 day remote, supporting our mission to deliver investment excellence over the long term.