Hybrid Compliance Analyst – Broker-Dealer & FINRA

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

Benefits offered by this job

Retirement plan

Health and wellbeing

Dental

Vision

Pharmacy coverage

Health savings account

Commuter program

Life and disability insurance

Tuition/CFA reimbursement

Paid time off

Job summary

Wellington Management seeks a Compliance Analyst to support our broker-dealer compliance program within the Legal & Compliance group. The role involves providing compliance support for the broker-dealer entity, maintaining policies, and assisting with registration and regulatory testing.

The ideal candidate has 2–4 years in broker-dealer compliance, familiarity with FINRA rules, and strong analytical/communication skills.

Qualifications

• 2–4 years of relevant broker-dealer compliance experience and a bachelor’s degree.
• FINRA designations (SIE, Series 7, Series 24) a plus.
• Familiarity with FINRA rules, Investment Advisers Act and other rules relevant to US sales and marketing a plus.
• Ability to manage multiple initiatives simultaneously; proactive and organized.
• Strong attention to detail and excellent written and oral communication.
• Strong understanding of data analysis tools and techniques.

Responsibilities

• Providing compliance support to the firm’s limited purpose broker-dealer Wellington Funds Distributors Inc. (WFD).
• Maintaining policies and procedures related to broker-dealer and sales and marketing activities.
• Supporting registration process for broker-dealer registered reps.
• Assisting with compliance testing related to broker-dealer and marketing procedures.
• 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

Data analysis

Communication

Multi-tasking

Attention to detail

Intellectual curiosity

FINRA rules

SIE/Series 7/24

Education

Bachelor’s degree

Job description

Wellington Management seeks a Compliance Analyst to support our broker-dealer compliance program within the Legal & Compliance group. The role involves providing compliance support for the broker-dealer entity, maintaining policies, and assisting with registration and regulatory testing.

The ideal candidate has 2–4 years in broker-dealer compliance, familiarity with FINRA rules, and strong analytical/communication skills.