Compliance Analyst
Wellington Management 21 reviews - Boston, MA

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The Company:
Tracing our roots to 1928, Wellington Management Company, LLP is one of the world’s largest independent investment management firms. With US$719 billion in assets under management as of 31 March 2012, we serve as a trusted adviser to institutional clients and mutual fund sponsors in over 50 countries. Our innovative investment solutions are built on the strength of proprietary, independent research and span nearly all segments of the global capital markets, including equity, fixed income, multi-asset, and alternative strategies. As a private partnership whose sole business is investment management, our long-term views and interests are aligned with those of our clients. We are committed to attracting a talented and diverse workforce, and to fostering an open, collaborative culture of inclusivity because we believe multiple perspectives lead to more informed investment and business decisions. We welcome people with diverse life experiences, fresh ideas, and specialized subject-matter expertise.

The Compliance Analyst will work with portfolio managers, relationship management, operations, as well as others in Legal and Compliance and other professionals in interpreting client investment guidelines, resolving compliance issues, researching client guidelines and security issues, and analyzing both pre and post-trade compliance results. This Compliance Analyst is aligned to support a team of fixed income portfolio managers by product and will support the Manager of Investment Compliance with implementation of guideline information for new accounts, revisions, and updates to existing accounts in a timely manner. In addition, the Compliance Analyst will be involved in various Investment Compliance initiatives and in assisting with requests for additional compliance analysis or oversight. The Compliance Analyst will display sound business judgment in driving results and creating and implementing creative business solutions to complex compliance issues.

Qualifications for this position include a strong working knowledge of fixed income and equity products and derivative securities, as well as prior experience monitoring investment guidelines and working in an investment compliance role. Also, an understanding of business analytics and data structures and prior experience with coding investment restrictions into a vendor or proprietary compliance monitoring system would be a plus. The candidate should be self-confident, 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. Attention to detail and computer literacy (knowledge of Word, Excel, and similar tools) are important, as is the desire to learn our compliance monitoring systems, Fidessa’s Sentinel.

In addition to a college undergraduate degree, a minimum of 2 - 5 years work experience in the financial services industry, law, or a related area are required. Advanced degree work, including CFA designation or other professional certification would be a plus.

About this company
21 reviews
If Napoleon had met this Wellington, Waterloo would have taken on a whole new meaning: sound asset management. Wellington Management...