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 50 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.
The Portfolio Guideline Monitoring Analyst ("The Analyst") is part of the Portfolio Guideline Monitoring and Performance Team within Portfolio Services. Portfolio Services provides each of Wellington's investment teams with the data, controls, and support they need to ensure that their investment intent is accurately reflected in portfolios in accordance with client, regulatory and operational requirements. Other teams within Portfolio Services include Portfolio Implementation, Portfolio Data, Portfolio Service Management, and Portfolio Accounting.
Responsibilities Primary responsibilities:
Specifically, the Analyst will focus on providing support to investment teams to ensure investment transactions and holdings are compliant with client guidelines and regulatory requirements. The Analyst is part of the team that evaluates client guidelines and maintains the guideline monitoring system, Sentinel, performs real-time, pre-trade support with investors, and resolves post-trade incident exceptions generated from Sentinel.
The Analyst will work collaboratively with other Guideline Monitoring analysts as well as other internal teams, specifically Relationship Management, Product Management and Portfolio Management Teams to have a deep understanding of investment strategies to analyze how different underlying transactions and holdings impact complying with our client's guideline and regulatory requirements.
Qualifications Qualifications for this position include a strong working knowledge of all investment type, including equity, fixed income products and derivative securities. Prior experience monitoring investment guidelines, working in an investment compliance role, understanding regulatory requirements for 40 Act and UCITs funds, and coding investment restrictions into a vendor or proprietary compliance monitoring system, specifically Sentinel is a plus. The candidate should be self-confident, a self-starter, results driven, energetic, have an inquisitive mind, and be controls conscious. Strong organizational skills, an ability to manage assignments with competing priorities, excellent communication skills, and the ability to work both independently and as a member of a team are critical.
JOB TITLE Investment Compliance Analyst
JOB FAMILY Portfolio Services
LOCATION 280 Congress
As an equal opportunity employer, Wellington Management considers all qualified applicants will receive 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 us at Wellington@icareerhelp.com .