Senior Compliance Analyst, EMEA

WELLINGTON MANAGEMENT

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 50 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.

Senior Analyst, EMEA Compliance (Frankfurt)

THE COMPANY

Tracing our roots to 1928, Wellington Management is one of the world’s largest independent investment management firms. With US$1 Trillion in assets under management as of 30 September 2022, 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.

The Position

We are currently seeking a compliance professional primarily to support the sales and marketing compliance program, focusing on support of cross-border distribution activities, marketing content and sales practices. Based in Frankfurt and working closely with the London-based Marketing Compliance team, the role will be responsible for advising local and regional sales teams on compliance matters, monitoring cross-border regulations across EMEA, reviewing financial promotion content and updating relevant policies, procedures and guidance. This position also will support the compliance program of Wellington Management’s EU-based investment management firm, Wellington Management Europe GmbH (“WME”). The Senior Analyst will report to WME’s Chief Compliance Officer and will work closely with the broader London-based EMEA Compliance team and the global Marketing Compliance colleagues based in the Americas and APAC.

responsibilities

Primary responsibilities will include:

• Review fund marketing and brand promotional materials, including German language content

• Provide day to day advice to the EMEA region sales and marketing teams on marketing content and distribution requirements across the EMEA region (including EU, UK, Switzerland & Dubai) and provide back up support for marketing teams in the US and APAC

• Develop and maintain marketing guidelines, Q&A’s, checklists, and country specific marketing memos

• Execute monitoring and testing of marketing materials

• Identify, assess and communicate regulatory developments relating to financial promotions and the marketing & distribution of funds in the region

• Develop and deliver compliance training to the business (both in-person and via on-line modules)

• Provide compliance support for WME and its branches, including regulatory filings and managing regulatory audits & inspections

QUALIFICATIONS

The critical qualifications for the role include:

• At least five (5) years of relevant experience (ideally in compliance or product marketing) at investment management and/or financial services firms, with at least [three (3)] years’ experience with fund-related financial promotions and/or fund distribution in the region

• Ability to effectively communicate with sales and marketing teams, influencing outcomes and mitigating regulatory risk

• Demonstrated career progression and commitment to professional development

• Commercial and growth mindset, geared at finding solutions that balance business and regulatory needs

• Ability to work under pressure, both independently and as part of a team

• Fluency in German and English languages; Italian language skills a plus

• Strong academic background, including university degree

JOB TITLE

Senior Compliance Analyst, EMEA

JOB FAMILY

Compliance

LOCATION

Frankfurt

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 considers