Broker-Dealer Compliance Analyst
Listed on 2026-09-18
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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.
Are you ready to take on the Broker-Dealer Compliance Analyst role at Wellington Management?
We invite applications for the Broker-Dealer Compliance Analyst position located in MA, United States.
The following opening is for a Broker-Dealer Compliance Analyst with Wellington Management.
Our organisation is growing, and we are hiring a Broker-Dealer Compliance Analyst in MA, United States.
This opening is for the Broker-Dealer Compliance Analyst role at Wellington Management.
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