Senior Guideline Monitoring Analyst

3 weeks ago

Étreux, Hauts-de-France, United States Wellington Management Company, LLP Full time
About Us

Wellington Management Company, LLP 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.

About the Role

We are seeking a Senior Guideline Monitoring Analyst to join our Boston-based team. While prior experience in the asset management industry is preferred, candidates from diverse backgrounds will also be evaluated. The Guideline Monitoring Team is responsible for implementing controls and processes to ensure Portfolio Managers' investments comply with both regulatory requirements and client investment guidelines. This 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

The Senior Analyst will support investment teams to ensure that investment transactions and holdings are compliant with client guidelines and regulatory requirements. Responsibilities include:
  • 1) Reviewing Investment Management Agreements, interpreting and analyzing client's investment guidelines, and coding them into Sentinel, the investment compliance system,
  • 2) Interacting real-time with investors to evaluate pre-trade alerts generated by their trading orders, and
  • 3) 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.
Qualifications

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.

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