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About the Role
The Senior Guideline Monitoring Analyst will support investment teams, ensuring investment transactions and holdings comply with client guidelines and regulatory requirements. This role is part of the Investment Operations Team within Global Operations, which focuses on leveraging technology and operations for efficient client and business partner outcomes.
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
- 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)
- Energetic, self-confident, and inquisitive mindset
- Self-starter, 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 (ChatGPT, Claude, Microsoft Copilot)
- Microsoft Word
- Microsoft Excel
Location
- Onsite
Work Type
- Hybrid
- Full-time
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.
- Investment solutions are tailored to institutional clients in over 60 countries, utilizing proprietary research and a collaborative culture.
- As a private partnership, the ownership structure fosters a long-term view aligned with client interests.
Equal Opportunity
- 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.