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Compliance Analyst

Wellington Management Company, LLP
Closing date
6 May 2021

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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 55 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.

Tracing our roots to 1928, Wellington Management Company, LLP is one of the world's largest independent investment management firms. With US$1 Trillion in assets under management as of 30 September 2020, we serve as a trusted adviser to institutional clients and mutual fund sponsors in over 50 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.

Wellington Management Funds offer Institutional investors access to our broad equity, fixed income, and multi-asset investment capabilities through Wellington Management Funds (WMF). This extensive suite of funds, which draws on the expertise of our global investment teams, includes UCITS and non-UCITS funds and specific fund families domiciled in Australia and Canada. Our clients include a wide range of global institutions, including pension funds, sovereign funds, endowments and foundations, family offices, and insurance companies. Select global banks also utilize our funds in connection with their private wealth management businesses.

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.

We are currently seeking a Compliance professional to join our existing team that covers distribution and marketing with a specific focus on regulations around sustainable investing and the sustainability-related disclosures in the financial services sector. Based in London, the primary focus of the role will be the review and approval of fund marketing materials, including presentations, factsheets, brochures, web content, video and email marketing content. To a lesser extent, the role will also include providing compliance support to product development and distribution functions. The Analyst will report to the Head of the Compliance team supporting distribution and marketing and will work closely with the broader Legal & Compliance team.

Primary responsibilities will include:
  • Review emerging regulations linked to sustainability-related disclosures in the financial services sector. Help the business develop a consistent framework for sustainability-related disclosures and related marketing content.
  • Develop subject-matter expertise in the area of sustainability-related disclosures in EMEA.
  • Provide compliance advice and support the development of sustainability-related web-content
  • Review marketing materials for WMF-Global funds for use ex-US, including content of the WMF-Global web pages;
  • Provide day to day advice to WMF Marketing, Global Wealth Management and the Global Business Development & Relationship Management Group on fund marketing content and distribution requirements across various jurisdictions across EMEA;
  • Develop and maintain marketing guidelines, Q&A's, checklists, and country specific marketing memos.
  • Assist with the Compliance Monitoring programme in relation to post use review of marketing material and website content;
  • Assist with the provision of training to the business, specifically in relation to marketing and distribution, and also more generally where required;
  • Provide compliance support for the product development process, attending working group meetings as part of the formal review and establishment of new WMF-Global funds.
The successful candidate is likely to:
  • Have a strong academic background, including an undergraduate degree;
  • Have 3 years of relevant compliance experience, ideally gained at another Asset Management firm. Experience of working with/supporting fund activities (specifically in relation to fund marketing and cross border distribution) is strongly preferred;
  • Demonstrate strong compliance knowledge, particularly as it relates to the sale and marketing of funds in multiple jurisdictions;
  • Have a genuine passion for ESG and sustainable finance issues
  • Have good business judgment, and be able to work under pressure, both independently and as part of a team.

Compliance Analyst


As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal consideration for employment without regard to race, 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 .
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