Marketing Compliance Senior Analyst

About Wellington Management

Wellington Management is a private partnership offering comprehensive investment management capabilities across nearly all segments of the global capital markets. Our investment solutions are tailored to the unique return and risk objectives of institutional clients in more than 60 countries, drawing on a robust body of proprietary research and a culture that encourages independent thought and healthy debate. We believe our ownership structure fosters a long‑term view that aligns our perspectives with those of our clients.

Marketing Compliance Senior Analyst. This role supports and enhances the firm’s US Marketing Compliance Program, focusing primarily on compliance review of marketing materials for registered funds, advising stakeholders on regulatory implications of complex marketing initiatives, and maintaining relevant policies and procedures. The Analyst is a member of the Americas Sales & Marketing Compliance team within the Legal and Compliance Group.

• Review marketing materials for funds to ensure compliance with regulatory guidelines, including the Investment Company Act, SEC Marketing Rule, Rule 482, FINRA 2210, 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 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 a related field.
• Direct experience reviewing marketing materials for 40 Act registered funds (privately offered fund marketing compliance experience is a plus).
• Expertise in rules and regulations applicable to marketing activities, with an emphasis on the Investment Company Act, SEC Marketing Rule, FINRA Rule 2210, and Rule 482.
• Ability to apply analytical and decision‑making skills in a collaborative and fast‑paced environment.
• Ability to exercise sound judgment, balancing 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, Series 7, and Series 24; candidate may obtain Series 24 after hire.
• Experience using data analysis tools and/or other technology solutions to strengthen internal processes and reporting is a plus.

The base salary range for this position is USD 90,000 – 180,000. This range reflects a comprehensive approach to total compensation, including salary, variable compensation, and benefits. Other rewards may include a discretionary corporate bonus and/or incentives, if eligible. The benefits package includes 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).

Employees work from our offices four days a week, with flexibility to work remotely one day a week.

Wellington Management is an equal‑opportunity employer. All qualified applicants will receive equal 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, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email GMWTa