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About the Role

This Marketing Compliance Senior Analyst role will support and enhance the firm’s US Marketing Compliance Program, focusing primarily on compliance review of marketing materials for alternative investments and registered funds. The role involves advising stakeholders on the regulatory implications of complex marketing initiatives and maintaining relevant policies and procedures.

Responsibilities

• Review marketing materials for alternative investments and registered funds to ensure compliance with regulatory guidelines including the Investment Company Act, SEC Marketing Rule, Rule 482, FINRA 2210 rule and internal policies and guidelines
• Provide regulatory advice to stakeholders on the application of the firm’s marketing guidelines related to the Investment Company Act
• Assist with drafting appropriate disclosures
• Conduct testing for compliance with applicable regulations and marketing policies and procedures
• Partner with EMEA and APAC compliance colleagues to maintain a coordinated approach over the firm’s global marketing compliance program and tools
• Monitor regulatory marketing-related developments, proposals and amendments and assess the compliance risk to the firm’s activities
• Assess compliance risks related to the firm’s marketing activities and communicate effectively with the business, including senior management
• Partner with business stakeholders to develop and deliver training, awareness initiatives, and related communications
• Maintain the firm’s marketing policies and procedures
• Assist with responding to examinations and inquiries by internal and external parties
• Assist with the maintenance of Marketing Compliance related applications

Requirements

• 5+ years of relevant investment adviser, investment company compliance or compliance consultant experience
• Experience reviewing marketing materials for 40 Act registered funds and/or alternative investment products including hedge funds and private investments products
• Must have FINRA SIE, Series 7, and Series 24; candidate can obtain Series 24 after hire
• Experience in various technology and AI tools to strengthen internal processes and reporting

Skills

• Expertise in rules and regulations applicable to marketing activities with an emphasis on Investment Company Act, SEC Marketing Rule, FINRA Rule 2210, Rule 482
• Ability to apply analytical and decision-making skills in a collaborative and fast paced environment
• Ability to exercise sound judgement, balance regulatory and policy standards with a business perspective
• Ability to effectively prioritize tasks, consistently execute and meet strict deadlines
• Strong written and oral communication skills; confidence interacting with all levels of management

Location

• Boston
• New York

Work Type

• Hybrid

Experience Level

• 5+ years

Education Level

• Bachelor's degree in finance, business administration, economics, marketing, or other related field of study

Salary/Compensations

• USD 90,000 - 180,000

Benefits

• Retirement plan
• Health and wellbeing
• Dental coverage
• Vision coverage
• Pharmacy coverage
• Health savings account
• Flexible spending accounts
• Commuter program
• Employee assistance program
• Life insurance
• Disability insurance
• Adoption assistance
• Back-up childcare
• Tuition reimbursement
• CFA reimbursement
• Paid time off
• Leave of absence
• Paid holidays
• Volunteer time
• Sick time
• Vacation time

About the Company

• 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 55 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.
• Wellington manages approximately $1.2 trillion in public investments.

Equal Opportunity

• As an equal opportunity employer, 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.