Marketing Compliance Senior Analyst

About UsWellington 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.About the RoleCompanyWellington 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 55 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. Wellington manages approximately $1.2 trillion in public investments. PositionThis Marketing Compliance Senior Analyst role will support and enhance the firm’s US Marketing Compliance Program focusing primarily on compliance review of marketing materials for alternative investments and registered funds, advising stakeholders on the regulatory implication of complex marketing initiatives and maintaining relevant policies and procedures. This position is open to candidates in Boston and New York. The Marketing Compliance Senior Analyst will be a member of the Americas Sales & Marketing Compliance team within the Legal and Compliance Group.Responsibilities Review marketing materials for alternative investments and registered funds to ensure compliance with regulatory guidelines including the Investment Company Act, SEC Marketing Rule, Rule 482, FINRA 2210 rule and internal policies and guidelinesProvide regulatory advice to stakeholders on the application of the firm’s marketing guidelines related to the Investment Company ActAssist with drafting appropriate disclosuresConduct testing for compliance with applicable regulations and marketing policies and proceduresPartner with EMEA and APAC compliance colleagues to maintain a coordinated approach over the firm’s global marketing compliance program and toolsMonitor regulatory marketing-related developments, proposals and amendments and assess the compliance risk to the firm’s activitiesAssess compliance risks related to the firm’s marketing activities and communicate effectively with the business, including senior managementPartner with business stakeholders to develop and deliver training, awareness initiatives, and related communicationsMaintain the firm’s marketing policies and proceduresAssist with responding to examinations and inquiries by internal and external partiesAssist with the maintenance of Marketing Compliance related applications.Qualifications 5+ years of relevant investment adviser, investment company compliance or compliance consultant experienceBachelor's degree in finance, business administration, economics, marketing, or other related field of studyExperience reviewing marketing materials for 40 Act registered funds and/or alternative investment products including hedge funds and private investments productsExpertise in rules and regulations applicable to marketing activities with an emphasis on Investment Company Act, SEC Marketing Rule, FINRA Rule 2210, Rule 482Ability to apply analytical and decision-making skills in a collaborative and fast paced environmentAbility to exercise sound judgement, balance regulatory and policy standards with a business perspectiveAbility to effectively prioritize tasks, consistently execute and meet strict deadlinesStrong written and oral communication skills; confidence interacting with all levels of managementMust have FINRA SIE, Series 7, and Series 24; candidate can obtain Series 24 after hireExperience in various technology and AI tools to strengthen internal processes and reportingNot 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 View email address on click.appcast.io 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 90,000 - 180,000This 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. In addition, 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, vision, and pharmacy coverage, health savings account, flexible spending accounts and 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)We believe that in person interactions inspire and energize our community and are essential to our culture. In support of this commitment, our employees work from our offices 4 days a week with flexibility to work remotely 1 day a week. We believe that this approach ultimately supports our mission to deliver investment excellence to our clients and their beneficiaries over the long term.SummaryLocation: Boston, MA, United States; Needham; New York, NY, United StatesType: Full time