Broker-Dealer Compliance Analyst

Wellington Management; Massachusetts; Hybrid; USD 80,000 - 150,000; Full time

Benefits offered by this job

Retirement plan

Health and wellbeing

Dental coverage

Vision coverage

Commuter program

Life and disability insurance

Job summary

Wellington Management in Massachusetts seeks a Compliance Analyst to support its broker-dealer compliance program within the Legal & Compliance group. The role focuses on policies, procedures, registration of broker-dealer reps, and regulatory training to client-facing staff.

The successful candidate will monitor FINRA rules, Advisers Act requirements, and industry trends, while collaborating to respond to inquiries and examinations.

Qualifications

• 2-4 years of broker-dealer compliance experience.
• Bachelor’s degree required.
• FINRA designations (SIE, Series 7 and Series 24) a plus.
• Familiarity with US sales and marketing regulations is a plus.

Responsibilities

• 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.

Skills

Attention to detail

Regulatory analysis

Communication skills

Multi-tasking

Proactive

Data analysis tools

Education

Bachelor's degree

Job description

Wellington Management in Massachusetts seeks a Compliance Analyst to support its broker-dealer compliance program within the Legal & Compliance group. The role focuses on policies, procedures, registration of broker-dealer reps, and regulatory training to client-facing staff.

The successful candidate will monitor FINRA rules, Advisers Act requirements, and industry trends, while collaborating to respond to inquiries and examinations.