Investment Compliance Analyst, Global Operations

CFA Institute; Boston (MA); On-site; 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

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.