Compliance Analyst, Marketing Compliance

Wellington Management

This Compliance Analyst role will help implement the firm’s compliance program with respect to its marketing activities, including the design, implementation and execution of relevant policies and procedures. The Compliance Analyst will be a member of the Americas Client Platform Compliance team within the Legal and Enterprise Risk Group.

Responsibilities

• Aid in execution of the firm’s program for the review and supervision of marketing activities, with respect to both privately offered funds (hedge funds and PE) and separate accounts marketed in the US;

• Provide advice on the application of the firm’s marketing guidelines to business representatives in their preparation of marketing materials and other external communications;

• Perform reviews of marketing materials for and conduct testing of compliance with applicable regulations and marketing policies and procedures;

• Coordinate with global compliance professionals to maintain a consistent and global compliance program over the firm’s marketing activities;

• Monitor regulatory developments regarding advertising and marketing and assess impact to the firm’s activities as appropriate;

• Liaise effectively with business representatives on training, awareness and communication needs. Develop and deliver such trainings and communications as appropriate;

Qualifications

• Undergraduate degree and minimum of 2 – 5 years of experience with an investment adviser, broker-dealer and/or compliance consultant, to include experience with marketing reviews;

• Some experience with marketing reviews, particularly with privately-offered fund materials, is preferred;

• Team-oriented: ability to apply analytical and decision-making skills in a collaborative environment;

• Service oriented: ability to balance regulatory and policy standards along with a business perspective; ability to work well in a fast-paced environment;

• Exceptional organizational skills: ability to effectively prioritize tasks, produce consistently accurate work and meet strict deadlines;

• Superior written and oral communication skills; confidence interacting with all levels of management;

• Candidate must have or obtain SIE, Series 7 and Series 24 licenses after employment.

To apply, please email Jessica Incerto at jeincerto@wellington.com.