Client Regulatory Analyst Client Regulatory Analyst …

Wellington Management Company, LLP
in London, England, United Kingdom
Permanent, Full time
Last application, 29 Mar 20
Wellington Management Company, LLP
in London, England, United Kingdom
Permanent, Full time
Last application, 29 Mar 20
Client Regulatory Analyst

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.

The Position
The Client Regulatory Analyst position is a new role sitting within our Client Service Group, providing expert regulatory knowledge on behalf of the function. The team operates as a center of knowledge within the Client Services Group and is conversant in regulations that impact clients, such as EMIR, MiFID II, UK SORP, and SFTR. Individuals within this group will be able to provide a level of subject matter expertise and act as a first level resource for client facing teams (Client Services, Relationship Management, Consultant Relations, Business Development) as well as engage with clients by email, phone, or in person as required. Objectives of the team will be to ensure that we are able to articulate the firms' position on how we've implemented or complied with regulatory programs, stay abreast of developments, and implement structure, consistency, and best practices around responding to client inquiries in this area, including associated client reporting.

Team success presumes regular engagement with and support from other functional teams such as Legal & Compliance, Trading, Portfolio Services, Investments, and IT, whether on an ad hoc, working group or governance basis. The design of this group is based on the successful model in place for the US Financial Institution Group (US Mutual Fund/40 Act), where subject matter expertise, client engagement, development of best practices/reporting and collaboration with other internal stakeholders/expertise have resulted in delivering a strong client experience in a channel governed by a number of regulations and requirements. Expansion of that model is now needed to cover EMEA due to the explosion of recent EU and other regulatory initiatives that need business as usual organization and structure within the client facing side of the business. As EU rules evolve from new to mature, we expect that the APAC region will be next to experience an increase in related regulations.

  • Provide assistance to client facing teams on compliance and regulatory issues
  • Maintain data inventory related to regulatory client project programs
  • Coordinate formulation of client data files and maintain procedural and process documentation to support client and firm wide regulatory initiatives
  • Help to ensure consistency and best practice across our compliance and regulatory reporting to clients
  • Prepare compliance and regulatory reports for clients and handle client requests on these topics
  • Coordinate completion of compliance/regulatory related reporting from internal departments
  • Proactively identify needed enhancements for reports and systems and assist in cross-functional efforts to develop solutions for robust, standardized and efficient reporting
  • Assist in preparing procedures and best practice guides related to the above for team members and other functional teams
  • Share knowledge with others to raise overall  comprehension of existing and new regulations
  • The successful candidate for this position will have experience in EU regulations as well as strong academic credentials, demonstrated analytical and writing skills, effective communications skills, and a high level of attention to detail.
  • The Analyst will need to be able to work in a team-oriented environment, covering many projects and will be self-directed, often under intense deadline pressures.
  • Solid understanding of financial assets and financial markets will also be helpful.
  • The ideal candidate will have at least 4-6 years of relevant professional work experience, preferably in a client reporting, regulatory, compliance, operational due diligence or subadvisor oversight or fund accounting setting.
  • Familiarity with EU regulations such as EMIR, MiFID II, and SFTR as well as trade cost analysis or reporting also a plus.
  • The candidate must have excellent written and verbal communication skills, high attention to detail strong organizational and time management skills along with the ability to multi-task and prioritize in a fast paced and sometimes high-pressure environment. 
Other skills
  • Experience with Windows, Outlook and Excel
  • Ability to easily source, manipulate and analyse stores of data
  • Excellent verbal and written communication skills
  • Ability to multi-task while delivering high quality work
  • Ability to easily build internal and external working relationships

Client Regulatory Analyst



As an equal opportunity employer, Wellington Management considers all qualified applicants will receive 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 .