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Broker-Dealer Compliance Analyst
Job in
Springfield, Hampden County, Massachusetts, 01119, USA
Listed on 2026-08-23
Listing for:
Wellington Management
Full Time
position Listed on 2026-08-23
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
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.
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