Senior Client Regulatory Analyst

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. About the Role Tracing our history to 1928, Wellington Management is one of the world's largest independent investment management firms. With over USD 1.4 trillion in client assets under management as of 31 December 2021, we serve as a trusted adviser to clients in over 60 countries. Our innovative investment solutions are built on the strength of proprietary, independent research and span nearly all segments of the global capital markets, including equity, fixed income, multi-asset, and alternative strategies. As a private partnership whose sole business is investment management, our long-term views and interests are aligned with those of our clients. We are committed to attracting a talented and diverse workforce, and to fostering an open, collaborative culture of inclusivity because we believe multiple perspectives lead to more informed investment and business decisions. As an Equal Opportunity Employer, we welcome people with diverse life experiences, fresh ideas, and specialized subject-matter expertise. TEAM OVERVIEW The Client Regulatory Operations & Communications Team is a specialist client-facing team dedicated to our US Mutual Fund/Sub-advisory clients, interacting directly with our clients and collaborating cross-functionally with internal stakeholders to deliver a strong client service experience. The team operates as a center of knowledge, works alongside the primary relationship team, and engages with clients on new regulations, day-to-day servicing, and reporting across a range of complex and evolving regulatory and compliance-related topics. Our clients are focused on understanding how we are carrying out responsibilities as an investment manager and ultimately to mutual fund shareholders. Topics of interest include our trading practices (especially around commissions and soft dollars), trading costs, cross trading, IPOs, liquidity, derivatives risk and exposure, proxy voting and how we manage our business and control risks (oversight and risk management, operational risk, cybersecurity, business continuity, third party risk, Code of Ethics). This role provides broad exposure to how the firm operates and broad engagement across a variety of internal functions as well as perspective on what is important to clients. The team hosts and coordinates client due diligence meetings with our subject matter experts, develops and maintains client relationships with senior compliance contacts (typically the Chief Compliance officer and staff), engages with clients on an ad hoc basis, and provides the related US Mutual Fund ('40 Act) reporting and information that their Boards need. JOB OVERVIEW This Senior Client Regulatory Analyst ('analyst') is a client-facing analyst role is well-suited to someone who wants to obtain broad exposure to the firm and the workings of an asset manager as well as gain insight into what is important to clients as they are interested in understanding how we manage money for them through their ongoing due diligence (in person, virtual, and in writing) and looking closely into the securities that we manage for them. The analyst will be assigned a book of clients and will work closely with the members of the Client Regulatory Operations team, colleagues in the Client Group - US Financial Intermediaries Group (US FIG), Trading, Legal and Compliance, Proxy, Guideline Monitoring, and others to make sure client requests and reports are appropriate, well understood, and completed in a timely and accurate manner. In addition, they will interact directly with clients as the primary reporting contact. The analyst will also prepare for and participate in client due diligence meetings, which cover a broad range of topics and functional areas of the firm. Additionally, while primarily focusing on '40 Act reporting and client engagement, the analyst will also be responsible for reporting outside of the US sub-advisory space (scope to be determined, but may include, and may not be limited to, Sustainable Investment regulatory reporting). RESPONSIBILITIES Day-to-day client servicing, including responding to client queries and preparing monthly and quarterly reports for US mutual fund clients Ongoing learning around US mutual fund regulations to be able to interpret and understand client priorities and requests, developing an expertise in the sub-advisory channel over time Contribute to client due diligence meetings by coordinating completion of due diligence questionnaires and meetings for mutual fund clients along with preparing for and attending the meetings Project manage and execute on regulatory and compliance-driven reporting requirements outside of the US sub-advisory space, engaging with key stakeholders across multiple functions and regions Peer review client deliverables as needed to ensure accuracy, data reasonability, etc. Contribute to project work and initiatives that advance the group and firm forward Help to ensure consistency and best practice across our internal workflows and client reporting Proactively identify needed enhancements for processes, reports, and systems and assist in cross-functional efforts to develop solutions QUALIFICATIONS 3 to 5 years of experience in the financial services industry Strong client service ethic, including understanding urgency, collaboration, and sensitivity Good understanding of financial assets and markets to facilitate comprehension of client inquiries around a wide range of instruments (stocks, bonds, derivatives) Excellent quantitative and communication skills Possess a growth mindset with the flexibility and openness to continue learning, evolving, and growing in a rapidly changing and evolving industry Comfort with ambiguity, change, and the constant evolution in the regulatory landscape Must be an independent self-starter, a team player, and able to handle multiple assignments Ability to manage strict and competing deadlines defined by regulators and internal stakeholders A positive, collegial attitude and a high level of professionalism are essential Experience in the '40 Act and/or general compliance/regulatory reporting spaces considered a plus Not sure you meet 100% of our qualifications? That's ok. If you believe that you could excel in this role, we encourage you to apply and welcome a chance to review your background. 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. As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal consideration for employment without regard to r ace, 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 . 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. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary, variable compensation, and benefits. The base salary range for this position is: USD 65,000 - 150,000 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. In addition, we offer a comprehensive and high value benefit package to meet the unique needs of our employees and their families, and 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) Tracing our history to 1928, Wellington Management is one of the world's largest independent investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our website to see our assets under management. Our innovative investment solutions are built on the strength of proprietary, independent research and span nearly all segments of the global capital markets, including equity, fixed income, multi-asset, and alternative strategies. As a private partnership whose sole business is investment management, our long-term views and interests are aligned with those of our clients. We are committed to attracting a talented and diverse workforce, and to fostering an open, collaborative culture of inclusivity because we believe multiple perspectives lead to more informed investment and business decisions. As an Equal Opportunity Employer, we welcome people with diverse life experiences, fresh ideas, and specialized subject-matter expertise. For more information, please visit (

Created: 2024-10-19