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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. This position is open to candidates in Boston and New York and is part of the Americas Sales & Marketing Compliance team within the Legal and Compliance Group.

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
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
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
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
Vision
Pharmacy coverage
Health savings account
Flexible spending accounts
Commuter program
Employee assistance program
Life and disability insurance
Adoption assistance
Back-up childcare
Tuition/CFA reimbursement
Paid time off (leave of absence, paid holidays, volunteer, sick and 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 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 GMWTalentOperations@wellington.com.