Hybrid Compliance Analyst – Broker-Dealer & Training

CFA Institute; Boston (MA); Hybrid; USD 80.000 - 150.000; Vollzeit

Benefits dieser Stelle

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

Zusammenfassung

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

Qualifikationen

• 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.

Aufgaben

• 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.

Kenntnisse

Attention to detail

Written and verbal communication

Data analysis

Multitasking / project management

Curiosity / problem solving

Proactive / self-motivated

FINRA rules familiarity

Ausbildung

Bachelor's degree

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

Tools

Data analysis tools

Jobbeschreibung

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