Marketing Compliance Senior Analyst

Marketing Compliance Senior Analyst

Location:

280 Congress

• Review marketing materials for 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.

• 5+ years of relevant investment adviser, investment company compliance or compliance consultant experience.
• Bachelor’s degree in finance, business administration, economics, marketing, or other related field of study.
• Direct experience reviewing marketing materials for 40‑act registered funds (Privately offered fund marketing compliance experience a plus).
• 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.
• Must have FINRA SIE, Series7, and Series
  24; candidate can obtain Series
  24 after hire.
• Experience using data analysis tools and/or other technology solutions to strengthen internal processes and reporting is a plus.

Base salary range: USD
90,000–180,000. The range accounts for skill set, role, experience, certifications, and education. Other rewards may include a discretionary Corporate Bonus and/or Incentives, if eligible. The company offers a comprehensive benefits package including retirement plan, health and wellness, 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, and paid time off (leave of absence, paid holidays, volunteer, sick and vacation time).

Employers also provide a flexible work environment with a hybrid model: four days in the office with one day remote.

Wellington Management is an equal‑opportunity employer. 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—and require an accommodation to apply for one of our jobs—please email GMWTa