Senior Guideline Monitoring Analyst

1 month ago


New York, New York, United States Wellington Management Company, LLP Full time
About Us

Wellington Management Company, LLP is a leading investment management firm that offers a comprehensive range of investment solutions to institutional clients worldwide. Our investment approach is built on a robust body of proprietary research and a collaborative culture that fosters independent thought and healthy debate.

About the Role

We are seeking a highly skilled Senior Guideline Monitoring Analyst to join our Boston-based team. The successful candidate will be responsible for ensuring that investment transactions and holdings are compliant with client guidelines and regulatory requirements. This role offers the opportunity to learn extensively about our investment products, develop skills, and build networks within the team and the firm.

Responsibilities

The Senior Analyst will support investment teams by reviewing investment management agreements, interpreting and analyzing client investment guidelines, and coding them into our investment compliance system. The role will also involve interacting with investors to evaluate pre-trade alerts generated by their trading orders and resolving post-trade incident exceptions. The Senior Analyst will work collaboratively with other Guideline Monitoring Analysts and internal teams to deepen understanding of investment strategies relative to client guidelines and regulatory standards. Additionally, the role will involve participating in various ad hoc projects such as process improvements, scenario analysis, and technology enhancements.

Qualifications

The successful candidate will have a strong understanding of investment types, including equity, fixed income products, and derivative securities. They will also possess three to five years of experience in Guideline Monitoring, Investment Operations, or Investment Compliance, and/or an understanding of regulatory frameworks such as the 1940 Act and ERISA. The ideal candidate will be self-confident, proactive, results-driven, energetic, inquisitive, and attentive to controls. They will also demonstrate advanced analytical abilities, a quantitative focus, and a meticulous approach. The successful candidate will be able to perform well under pressure, effectively prioritizing tasks independently and as part of a team. They will also think critically to challenge norms and propose innovative ideas and solutions. Strong communication and interpersonal skills are essential for effective interaction with investment teams and other professionals across the firm. A post-graduate degree or relevant professional qualification, such as the CFA, is advantageous. Technical proficiency in SQL, PowerBI, Tableau, or Excel macros is a value add.

What We Offer

At Wellington Management Company, LLP, we strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation, including salary, variable compensation, and benefits. The base salary range for this position is USD 65,000 - 100,000. This 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. In addition to a competitive salary, we offer a comprehensive and high-value benefit package to meet the unique needs of our employees and their families. Examples of our benefits include retirement plan, health and wellbeing, dental, vision, and pharmacy coverage, health savings account, flexible spending accounts, and commuter program. We are committed to fostering a flexible work environment that enables employees to thrive personally and professionally.
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