Senior Guideline Monitoring Analyst

1 day ago

Chicago, Illinois, United States Wellington Management Full time

About Us

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 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.

Key Responsibilities

The Senior Guideline Monitoring Analyst will support investment teams to ensure that investment transactions and holdings are compliant with client guidelines and regulatory requirements.

The role offers the successful candidate the chance to learn extensively about all our investment products, develop skills, and build networks within the team and the firm.

Responsibilities include:

  • Reviewing Investment Management Agreements, interpreting and analyzing client's investment guidelines, and coding them into Sentinel, the investment compliance system
  • Interacting real-time with investors to evaluate pre-trade alerts generated by their trading orders
  • Resolving post-trade incident exceptions generated from Sentinel, and communicating any required actions to the Investment and Client Management Teams

The Senior Analyst will work collaboratively with other Guideline Monitoring Analysts, and other internal teams, including our Global Relationship Teams, Product Management and Portfolio Management.

This collaboration aims to deepen understanding of investment strategies relative to client guidelines and regulatory standards.

Additionally, the Senior Analyst will participate in various ad hoc projects such as process improvements, scenario analysis and technology enhancements.

Requirements

The successful candidate is expected to:

  • Exhibit knowledge of investment types, encompassing equity, fixed income products, and derivative securities
  • 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
  • Be self-confident, proactive, results-driven, energetic, inquisitive, and attentive to controls
  • Demonstrate advanced analytical abilities, a quantitative focus, and a meticulous approach
  • Perform well under pressure, effectively prioritizing tasks independently and as part of a team
  • Think critically to challenge norms and propose innovative ideas and solutions
  • Have strong communication and interpersonal skills for effective interaction with investment teams and other professionals across the firm
  • Hold strong academic credentials and an undergraduate degree
  • A post-graduate degree or relevant professional qualification (e.g., CFA), or progress towards one, would be advantageous
  • Technical proficiency in SQL, PowerBI, Tableau, or Excel macros is a value add

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.

At 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.

The base salary range for this position is USD 65,000 - 90,000.

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.

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.

We offer a comprehensive and high value benefit package to meet the unique needs of our employees and their families.

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)

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