Legal Associate
Listed on 2025-10-30
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Finance & Banking
Regulatory Compliance Specialist, Financial Analyst -
Business
Regulatory Compliance Specialist, Financial Analyst
About Us
Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long‑term view that aligns our perspectives with those of our clients.
Aboutthe Role
We are seeking a highly motivated and growth‑oriented Legal Associate to work with our Legal teams primarily supporting Wellington Management’s U.S. Wealth business.
Key Responsibilities- Support fulfillment of legal and regulatory obligations of Wellington-sponsored investment companies registered under the Investment Company Act of 1940, including:
- Drafting and/or reviewing regulatory filings, including registration statements and supplements, shareholder reports, proxy statements, information statements and filings on Form N‑23c‑3 and Schedule TO
- Supporting Legal’s preparation of materials for fund boards, including memoranda and presentations
- Liaising with internal stakeholders and external counsel to manage fund regulatory calendar
- Help to establish and support a process with internal stakeholders to support the ’40 Act Platform
- Support negotiation of service provider agreements, including distribution agreements, administration agreements and custody agreements
- Support negotiation of investment management agreements for subadvisory client relationships
- Provide advice and/or escalating issues to Counsel in relation to the above
- 5 to 10 years’ experience supporting registered investment companies in the foregoing areas, either at a major law firm or a financial institution
- Experience working with internal stakeholders and fund boards; cross‑functional coordination and support preferred
- Experience with interval funds and tender offer funds preferred
- Strong analytical, communication, and interpersonal skills
- Demonstrable track record of achievement, capacity for differentiated thinking, strong work ethic, applying good judgment, and willingness to work with others
- Ability to manage multiple priorities and work independently in a fast‑paced environment
- Experience with contract negotiation and analysis of regulatory issues relevant to registered investment companies
Not sure you meet 100% of our qualifications? That’s ok. If you believe that you could excel in this role, we encourage you to apply and welcome a chance to review your background. We are dedicated to building and maintaining a diversified workforce and considering a broad array of candidates with a variety of skill, workplace experiences, and backgrounds.
Base Pay RangeUSD 80,000.00/yr - $/yr
BenefitsAt Wellington Management, our approach to compensation is designed to help us attract, inspire and retain the best talent in our industry. We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary, variable compensation, and benefits. The base salary range for this position is: USD 80,.
This range takes into account the wide range of factors that are considered when making compensation decisions, including but not limited to skill sets, role, skills and experience, certifications, and education. This range is an estimate, and further details on salary and total compensation aspects will be shared with candidates during the recruitment process. Base salary is only one component of Wellington’s total compensation approach.
Other rewards may include a discretionary Corporate Bonus and/or Incentives, if eligible. Additionally, we offer a comprehensive and high‑value benefit package to meet the unique needs of our employees and their families, and we are committed to fostering a flexible work environment that enables employees to thrive personally and professionally. Examples of our benefits include retirement plan, health and wellbeing, dental,…
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