Principal, Investment Compliance

Wellington Management Co; Boston (MA); Hybrid; USD 120,000 - 225,000; Full time

Benefits offered by this job

Retirement plan

Health and wellbeing

Tuition/CFA reimbursement

Paid time off

Job summary

Wellington Management Company, LLP seeks a Principal, Investment Compliance to lead guideline monitoring across asset classes within the Investment Operations Team. The role combines regulatory expertise, operational oversight, and strategic influence to ensure client guidelines and risk standards are applied consistently.

You will mentor analysts and work with Legal, Compliance and Risk teams to enhance monitoring systems, drive cross‑functional initiatives, and advance the team’s multi‑year

Qualifications

• 12+ years in asset management compliance or investment operations.
• Deep knowledge across equities, fixed income, derivatives and alternatives.
• Experience interpreting client guidelines and automating compliance rules.
• Strong knowledge of global regulatory regimes (e.g., 1940 Act, ERISA, UCITS).
• Leadership through influence; mentoring colleagues and driving cross‑functional work.
• Strategic thinker with execution discipline and executive presence.
• Project leadership across multi‑year initiatives; detail‑oriented and analytical.

Responsibilities

• Provide functional leadership and mentorship to analysts and principals.
• Lead escalation for complex pre/post-trade guideline matters with risk focus.
• Oversee interpretation of investment agreements and regulatory requirements.
• Challenge complex guideline coding and monitoring rules with Legal and Risk teams.
• Drive enhancements to monitoring infrastructure, data governance, and reporting.
• Engage with Portfolio Managers, Product, Legal, Risk, and Technology on governance.
• Develop and execute team roadmaps; promote best practices across regions.

Skills

Guideline monitoring

Investment compliance

Regulatory interpretation

Stakeholder communication

Leadership through influence

Analytical thinking

Problem solving

Education

Advanced degree or designation

CFA/CPA/JD preferred

Tools

Sentinel

SQL

PowerBI

Excel

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 US$1 trillion in assets under management as of June 30, 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 nearly all segments of 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 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 individuals with diverse life experiences, fresh ideas, and specialized subject‑matter expertise.

Overview

The Principal, Investment Compliance will serve as a senior leader who will be part of the Investment Operations Team within Global Operations. The Global Operations division brings technology and operations together to deliver better and more efficient outcomes for our clients and business partners. The Guideline Monitoring team provides Wellington’s investment teams with the data, controls, technology, and operational partnership required to ensure that investment intent is executed in accordance with client guidelines, regulatory obligations, and internal risk standards. The principal will act as a functional leader and subject matter authority for guideline monitoring across asset classes. This role combines deep regulatory expertise, operational oversight, strategic influence, and mentorship. The principal will serve as a key escalation point for complex compliance matters, a trusted advisor to senior stakeholders across the firm, and a driver of continuous improvement in compliance monitoring capabilities, systems, and processes. This role does not carry formal people management responsibilities but requires strong leadership through influence, coaching, and enterprise partnership.

Responsibilities

Functional Leadership & Mentorship

• Serve as a senior subject matter expert and thought leader within Guideline Monitoring.
• Provide mentorship, coaching, and technical guidance to Analysts and Principals, fostering professional development and strengthening team expertise.
• Lead by example in promoting a strong controls culture, accountability, and operational excellence.
• Act as a senior escalation point for complex pre- and post-trade guideline matters, partnering with colleagues to drive timely and risk-conscious resolutions.
• Contribute to talent development initiatives, training programs, and knowledge-sharing forums across the team.

Guideline Oversight & Risk Management

• Oversee the interpretation of Investment Management Agreements, prospectuses, and regulatory requirements to ensure accurate implementation within the compliance monitoring system (e.g., Sentinel).
• Provide technical oversight and challenge on complex guideline coding, monitoring rules, and account set-up processes.
• Review material breaches, emerging risk indicators, and thematic trends to strengthen the overall control environment.
• Partner with Legal, Compliance, Risk, and Investment teams to evaluate regulatory developments (e.g., 1940 Act, UCITS, ERISA, AIFMD, and other global frameworks) and implement necessary monitoring enhancements.
• Provide expertise on complex instruments, including derivatives, structured products, and alternative investments.
• Lead root cause analyses for significant issues and recommend control enhancements to mitigate recurrence.

Strategic Initiatives & Platform Evolution

• Drive strategic enhancements to guideline monitoring infrastructure, automation, data governance, and reporting capabilities.
• Partner with Technology and Product teams to expand testing frameworks, improve system functionality, and strengthen pre- and post-trade controls.
• Champion process optimization and scalable solutions to support business growth and product innovation.
• Contribute to the development and execution of the team’s multi‑year roadmap aligned with firm‑wide priorities.
• Establish best practices and promote consistency across asset classes and regions.

Stakeholder Engagement & Governance

• Serve as a senior liaison to Portfolio Managers, Product Management, Client Relationship Teams, Legal Services, Risk, and Technology.
• Provide subject matter expertise in client due diligence discussions, internal governance forums, and regulatory inquiries, as appropriate.
• Communicate complex guideline interpretations and regulatory impacts clearly and effectively to senior stakeholders.
• Represent the Guideline Monitoring function in cross‑functional initiatives and working groups.

Qualifications

• Possess 12+ years of experience in asset management compliance, guideline monitoring, or investment operations.
• Demonstrate deep knowledge of multiple asset classes, including equities, fixed income, derivatives, and alternative investments.
• Have extensive experience interpreting client investment guidelines and implementing automated compliance rules.
• Exhibit strong working knowledge of relevant regulatory regimes (e.g., Investment Company Act of 1940, Investment Advisers Act, ERISA, UCITS, AIFMD, and other global regulations).
• Demonstrate leadership through influence, with a track record of mentoring colleagues and driving cross‑functional initiatives.
• Be a strategic thinker capable of balancing detailed technical analysis with broader business considerations.
• Exhibit strong project leadership capabilities, including managing cross‑functional initiatives to successful outcomes.
• Be highly analytical, detail‑oriented, and controls‑focused, with strong problem‑solving skills.
• Communicate effectively with senior stakeholders, demonstrating executive presence and sound judgment.
• Hold strong academic credentials; an advanced degree or professional designation (e.g., CFA, CPA, JD) is preferred.
• Demonstrate technical proficiency in compliance systems and data tools (e.g., Sentinel, SQL, PowerBI, Excel, workflow automation platforms).

Equal Opportunity Employer

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].

Compensation and Benefits

The base salary range for this position is: USD 120,000 - 225,000. 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)

Work Environment

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.

Company Overview

Tracing our history to 1928, Wellington Management is one of the world’s largest independent investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our website to see our assets under management. Our innovative investment solutions are built on the strength of proprietary, independent research and span nearly all segments of 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 culture of inclusivity 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. 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 remote 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.

For more information, please visit https://www.wellington.com/en/