Wellington Management
Wellington Management | Compliance Analyst
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Job Highlights
Responsibilities
- Providing compliance support to the firm’s limited purpose broker-dealer Wellington Funds Distributors Inc. (WFD).
- Maintaining policies & procedures related to broker dealer and sales & marketing activities.
- Supporting registration process for broker dealer registered reps.
- Assisting with Compliance testing related to broker-dealer and marketing procedures and practices.
- Assisting with regulatory training of client-facing personnel.
- Assisting in responding to regulatory inquiries or examinations, as appropriate.
- Staying informed of regulatory changes and industry trends and business
Requirements
- Familiarity with FINRA rules, Investment Advisers Act and other rules and regulations relevant to US sales and marketing activities a plus.
- Ability to manage multiple initiatives simultaneously; proactive, self-motivated and well-organized.
- Intellectual curiosity; willingness to ask questions and ability to “connect dots.
- Strong understanding of and experience with data analysis tools.
- Excellent written and oral communication skills.
- 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.
- Strong attention to detail
About the company
Wellington Management
Wellington Management is an employer hiring in the United States (sector: BFSI / Investments / Insurance).
Its finance, accounts, audit and tax openings in the United States are mostly in Boston.
