Broker-Dealer Compliance Analyst
Listed on 2026-09-30
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Finance & Banking
Regulatory Compliance Specialist, Banking & Finance, Financial Services -
Business
Regulatory Compliance Specialist, Banking & Finance
Wellington Management in Massachusetts seeks a Compliance Analyst to support its broker-dealer compliance program within the Legal & Compliance group. The role focuses on policies, procedures, registration of broker-dealer reps, and regulatory training to client-facing staff.
The successful candidate will monitor FINRA rules, Advisers Act requirements, and industry trends, while collaborating to respond to inquiries and examinations.
We have an opening for a Broker-Dealer Compliance Analyst in MA, United States within Legal, Management & Operations.
Our team is growing, and we are hiring a Broker-Dealer Compliance Analyst in MA, United States.
This role is for the Broker-Dealer Compliance Analyst role at Wellington Management.
We are seeking a motivated Broker-Dealer Compliance Analyst to join Wellington Management in MA, United States.
Consider building your career as a Broker-Dealer Compliance Analyst at Wellington Management.
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