Compliance Analyst

Wellington Management; Boston (MA); Hybrid; USD 80,000 - 150,000; Full time

Benefits offered by this job

Hybrid work schedule

Comprehensive benefits

Career development

Job summary

Wellington Management is seeking a Compliance Analyst to support the broker-dealer compliance program within the Legal & Compliance group. The role focuses on policy maintenance, registration support, testing, and training for client-facing personnel.

The ideal candidate has 2-4 years of broker-dealer compliance experience, familiarity with FINRA rules, and strong analytical and communication skills in a regulated US sales environment.

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

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

Broker-dealer compliance

FINRA rules knowledge

Data analysis

Attention to detail

Multitasking

Communication skills

Education

Bachelor's degree

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

Position 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

• 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. 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 [e-mail].

Benefits

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 - 150,000

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.