Senior Guideline Monitoring Analyst

Wellington Management Company LLP; United States; Hybrid; USD 110,000 - 165,000; Full time

Job summary

Wellington Management Company LLP seeks a Senior Guideline Monitoring Analyst to join the Investment Operations Team. The role focuses on ensuring client guidelines and regulatory compliance across investment transactions and holdings.

You will review agreements, code rules in the Sentinel system, and provide real-time pre-trade support while resolving post-trade exceptions, working closely with Global Relationship, Product Management and Portfolio teams.

Qualifications

• 3–7 years of industry experience in finance or operations.
• Bachelor's degree in Finance or related field.
• Experience with investment guidelines and regulatory regimes a plus.

Responsibilities

• Monitor investment guidelines accuracy and regulatory compliance.
• Support real-time, pre-trade and post-trade monitoring using Sentinel.
• Review Investment Management Agreements and client guidelines.
• Collaborate with Global Relationship Teams, Product Management and Portfolio Management.
• Develop understanding of investment strategies relative to client guidelines.

Skills

Investment operations knowledge

Analytical thinking

Regulatory compliance awareness

Communication skills

Team collaboration

Education

Bachelor's degree in Finance or Business-related field

Tools

Microsoft Office (Word, Excel)

Job description

We are currently seeking a Senior Guideline Monitoring 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.,

• 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
• The Analyst will be part of the team that: Reviews Investment Management Agreements, evaluates client guidelines, and codes rules and maintains the guideline monitoring system, ION 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, 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.
• 3-7 years of industry experience
• Bachelor's degree in Finance or Business-related field
• 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 (UCITS, AIFMD, German/Swiss Regs)
• Familiarity with AI-enabled productivity tools, such as ChatGPT, Claude, Microsoft Copilot, or similar platforms, and an ability to apply them thoughtfully to improve efficiency, research, analysis, and workflow execution would be advantageous.
• 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
• 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.