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 Sales and Marketing Compliance Manger will lead Wellington Management's sales and marketing compliance program. The Compliance Manager will be a member of the Legal and Compliance Group and will report to the Manager of Investment Adviser Compliance.
The Compliance Manager's principal responsibilities will include the following:
Designing and overseeing Wellington's compliance program for the firm's Global Relationship, Investment Products & Strategies and Client Service groups
Overseeing the team responsible for reviewing the firm's pooled vehicle and separately managed account marketing materials for compliance with SEC, FINRA, and related internal policies
Providing compliance oversight over the firm's limited purpose broker-dealer, Wellington Management Advisers
Providing advice and support to personnel with respect to applicable regulations, and firm policies and procedures
Drafting relevant policies and procedures
Developing and delivering regulatory training
Recommending enhancements to supervisory processes, internal controls and internal testing
Responding to regulatory inquiries or examinations, as appropriate
Working closely with the firm's Legal Department to interpret and apply relevant laws, regulations and rules
Leading key Legal and Compliance Group initiatives pertaining to the firm's sales and marketing activities, as appropriate
10+ years of relevant investment adviser experience and Bachelor's degree. J.D., FINRA designations (i.e. Series 7 and Series 24) and professional designation (e.g. CFA) a plus
Deep familiarity with FINRA, Investment Advisers Act and other rules and regulations relevant to sales and marketing activities
Prior success developing and implementing technology solutions to strengthen internal controls
Exceptionally strong business judgment
Excellent written and oral communication skills. Strong presentation skills and comfort presenting in large groups with senior business management
Ability to influence outcomes through collaboration and well defined advice
Ability to apply analytical and decision-making skills in a collaborative and fast-paced environment
Strong understanding of and experience with data analysis tools
Proactive, self-motivated and well-organized
JOB TITLE Mgr, Compliance - Sales & Marketing
JOB FAMILY Compliance
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 GMCANINQ@wellington.com .
Internal Number: 5598680
About Wellington Management Company, LLP
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