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About the Role
Wellington Management is seeking a Senior Guideline Monitoring Analyst to join the Investment Operations Team within Global Operations. This role supports investment teams to ensure transactions and holdings comply with client guidelines and regulatory requirements.
Responsibilities
- Reviews Investment Management Agreements, evaluates client guidelines, and codes rules.
- Maintains the guideline monitoring system, ION Sentinel.
- Performs real-time, pre-trade support with investors.
- Resolves post-trade incident exceptions generated from Sentinel.
- Collaborates with other Guideline Monitoring Analysts and internal teams, including Global Relationship Teams, Product Management, and Portfolio Management.
- Develops 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.
- 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
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.
- Our investment solutions cater to institutional clients in over 50 countries, utilizing proprietary research and a collaborative culture.
- As a private partnership, our ownership structure fosters a long-term perspective aligned with client interests.
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.