Investment Compliance Analyst

CFA Institute; Boston (MA); Hybrid; USD 90,000 - 180,000; Full time

Benefits offered by this job

Health and wellbeing benefits

Flexible work arrangement

Job summary

Wellington Management is seeking an Investment Compliance Analyst to join the Investment Operations Team in Global Operations. The Analyst will help ensure transactions and holdings comply with client guidelines and regulatory requirements.

Responsibilities include reviewing investment management agreements, maintaining the Sentinel system, providing real-time pre-trade support, resolving post-trade exceptions, and collaborating with Relationship, Product, and Portfolio teams.

Qualifications

• Working knowledge of investment types including equity and fixed income products and derivatives.
• Experience in guideline monitoring, investment operations or compliance is advantageous.

Responsibilities

• Provide support to investment teams to ensure transactions and holdings comply with client guidelines and regulatory requirements.
• Review Investment Management Agreements and evaluate client guidelines; maintain Sentinel monitoring system.
• Perform real-time, pre-trade support with investors.
• Resolve post-trade incident exceptions generated from Sentinel.
• Collaborate with Global Relationship Teams, Product Management and Portfolio Management.

Skills

Investment types

Equities

Fixed income

Derivatives

Guideline monitoring

Regulatory knowledge

Analytical mindset

Attention to detail

Communication skills

Excel

Education

Bachelor's degree in finance/economics/related field

Tools

Sentinel monitoring system

Microsoft Excel

Word processing

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

Tracing our roots to 1928, Wellington Management Company, LLP is one of the world's largest independent investment management firms. With over USD $1 trillion in assets under management as of 30 June 2025, we serve as a trusted adviser to institutional clients and mutual fund sponsors in over 60 countries. Our innovative investment solutions are built on the strength of proprietary, independent research and span the global capital markets, including equity, fixed income, multi-asset, and alternative strategies.

As a private partnership whose sole business is investment management, our long-term views and interests are aligned with those of our clients. We are committed to attracting a talented and diverse workforce, and to fostering an open, collaborative, and inclusive culture because we believe multiple perspectives lead to more informed investment and business decisions. As an Equal Opportunity Employer, we welcome people with diverse life experiences, fresh ideas, and specialized subject-matter expertise.

The Position

We are currently seeking an Investment Compliance Analyst ("Analyst") who will be part of the Investment Operations Team within the Global Operations. The Global Operations division brings technology and operations together to deliver better and more efficient outcomes for our clients and business partners.

Responsibilities

• The Analyst will focus on providing support to investment teams, to ensure that investment transactions and holdings are compliant with client guidelines and regulatory requirements
• Reviews Investment Management Agreements, evaluates client guidelines, and maintains the guideline monitoring system, called Sentinel
• Performs real-time, pre-trade support with investors
• Resolves post-trade incident exceptions generated from Sentinel
• The Analyst will work collaboratively with other Guideline Monitoring Analysts, as well as other internal teams, specifically our Global Relationship Teams, Product Management and Portfolio Management
• The Analyst will develop a deep understanding of investment strategies relative to client guidelines and regulatory requirements

Qualifications

• Candidate must demonstrate a working knowledge of investment types, including equity and fixed income products, and derivative securities
• Prior experience in guideline monitoring, investment operations or compliance, or an understanding of different regulatory regimes would be advantageous but is not required
• Candidate should be energetic, self-confident, and have an inquisitive mind
• An ideal candidate should be a self-starter who is results-driven, and be controls conscious
• Possess strong organizational skills and proven ability to manage assignments with competing priorities
• Exhibit strong interpersonal and communicative abilities
• Demonstrated capability to perform both independently and collaboratively
• Possess excellent attention to detail
• Exhibit strong proficiency in computer skills and digital literacy, particularly with Word, Excel, and similar software applications

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] .

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 90,000 - 180,000

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.