Compliance Analyst

Wellington Management Company, LLP
London, United Kingdom
04 Sep 2022
25 Sep 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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.

We are transitioning to a hybrid work environment where both remote work and the office play a critical role. Our vision is a future where all employees are empowered to work flexibly to drive the best outcomes for our clients. Flexible work is a mindset and a core value. Our employees are encouraged to work remotely two days a week as a standard practice and will have flexibility in terms of working hours.

About the Role

We are currently seeking a compliance professional to support the sales advisory compliance program, focusing on support of cross-border distribution activities and sales practices. Based in London, the role will be responsible for advising the sales teams on compliance matters, monitoring cross-border regulations across EMEA and updating advisory guidance. The role is an excellent opportunity for an individual to develop knowledge across multiple jurisdictions and exposure to a wide range of fund structures. The Analyst will report to the EMEA Marketing and Distribution Compliance Officer and will work closely with the broader Legal & Compliance team.

Primary responsibilities will include:
  • Assist in the development and maintenance of country-by-country, cross-border marketing and sales regulatory guidance for sales practices and fund distribution in EMEA.
  • Provide compliance advisory support for the development of automated controls in Salesforce
  • Keep abreast of new regulatory developments and their impact on cross-border distribution activities.
  • Provide day to day advice to the EMEA sales and marketing teams on marketing content and distribution requirements across various jurisdictions across EMEA.
  • Assist in the development and maintenance the compliance monitoring programme overseeing sales practices in EMEA
  • Provide compliance training to the business.
  • Provide compliance advisory support in relation to inducements, conflicts of interest, client classifications, suitability and appropriateness.
The successful candidate is likely to:
  • Have a strong academic background, including an undergraduate degree;
  • Have 3-5 years compliance experience, ideally gained at another Asset Management firm. Experience of working with/supporting fund activities (specifically in relation to fund marketing and cross border distribution) is strongly preferred;
  • Demonstrate a strong working knowledge of, and interest in, financial markets;
  • Have good business judgment, and be able to work under pressure, both independently and as part of a team.
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.

As an equal opportunity employer, Wellington Management ensures that 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 us at .

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