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About the Role

The Senior Guideline Monitoring Analyst will support investment teams to ensure transactions and holdings comply with client guidelines and regulatory requirements. This role involves reviewing agreements, evaluating guidelines, coding rules, maintaining the monitoring system, performing pre-trade support, and resolving post-trade exceptions.

Responsibilities

• Review Investment Management Agreements
• Evaluate client guidelines
• Code rules and maintain the guideline monitoring system, ION Sentinel
• Perform real-time, pre-trade support with investors
• Resolve post-trade incident exceptions generated from Sentinel
• Collaborate with other Guideline Monitoring Analysts and internal teams (Global Relationship Teams, Product Management, Portfolio Management)
• Develop a deep understanding of investment strategies relative to client guidelines and regulatory requirements

Requirements

• 3-7 years of industry experience
• Bachelor's degree in Finance or Business-related field
• 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 (e.g., ChatGPT, Claude, Microsoft Copilot) and ability to apply them to improve efficiency, research, analysis, and workflow execution is advantageous
• Energetic, self-confident, and inquisitive mindset
• Self-starter who is results-driven and controls conscious
• Strong organizational skills and proven ability to manage assignments with competing priorities
• Strong interpersonal and communicative abilities
• Demonstrated capability to perform both independently and collaboratively
• Excellent attention to detail
• Strong proficiency in computer skills and digital literacy, particularly with Word, Excel, and similar software applications

Skills

• Guideline monitoring
• Investment operations
• Compliance
• Regulatory regimes (UCITS, AIFMD, German/Swiss Regs)
• AI-enabled productivity tools
• Microsoft Word
• Microsoft Excel

Location

• London

Work Type

• Hybrid (4 days in office, 1 day remote)

Experience Level

• Senior

Education Level

• Bachelor's degree in Finance or Business-related field

About the Company

• Wellington Management offers comprehensive investment management capabilities across global capital markets.
• As a private partnership founded in 1928, we have over USD $1 trillion in assets under management.
• We serve institutional clients and mutual fund sponsors in over 60 countries.
• Our solutions are built on proprietary, independent research and span equity, fixed income, multi-asset, and alternative strategies.
• Our ownership structure fosters a long-term view aligned with client interests.
• We are committed to attracting a talented and diverse workforce and fostering an open, collaborative, and inclusive culture.
• We believe multiple perspectives lead to more informed investment and business decisions.

Equal Opportunity

• As an Equal Opportunity Employer, we welcome people with diverse life experiences, fresh ideas, and specialized subject-matter expertise.
• Wellington Management considers all qualified applicants will receive 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 GMWTalentOperations@wellington.com.