Compliance Analyst

CFA Institute; Boston (MA); Hybrid; USD 80,000 - 150,000; Full time

Benefits offered by this job

Retirement plan

Health and wellbeing

Dental coverage

Vision coverage

Pharmacy coverage

Health savings account

Flexible spending accounts

Commuter program

Employee assistance program

Life and disability insurance

Adoption assistance

Back-up childcare

CFA reimbursement

Paid time off

Job summary

Wellington Management seeks a Compliance Analyst to support the broker-dealer compliance program within the Legal & Compliance group. You will assist with policies, procedures, registrations, and regulatory testing to ensure adherence to FINRA rules and the Investment Advisers Act.

The role requires 2–4 years of broker-dealer compliance experience, a bachelor's degree, and strong communication skills. The firm emphasizes a collaborative culture and offers a broad benefits package in a hybrid

Qualifications

• 2-4 years of relevant broker-dealer compliance experience and bachelor's degree.
• FINRA designations (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.

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

Written and verbal communication

Data analysis

Multitasking / project management

Curiosity / problem solving

Proactive / self-motivated

FINRA rules familiarity

Education

Bachelor's degree

FINRA designations (SIE, Series 7, Series 24) preferred

Tools

Data analysis tools

Job description

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

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

• 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

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 [e-mail] .

The base salary range for this position is:
USD 80,000 - 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/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.