Compliance Analyst

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Wellington Management Company, LLP
  • 18 Jan 18 2018-01-18

Compliance 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 Company

Tracing our roots to 1928, Wellington Management Company, LLP is one of the world's largest independent investment management firms. With US$1,021 billion in assets under management as of 30 June 2017, 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. 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 specialised subject-matter expertise.

The Position

We are currently seeking a Compliance professional to join our Compliance team. The position will support the distribution and marketing of Wellington Management Funds-Global (WMF-Global) funds internationally. WMF-Global is a fast growing part of our business, selling mutual funds to our institutional clients and distributing through major private bank and high net worth firms. WMF-Global has $35 billion under management as of 30th June, 2017. 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.  The role will also include providing compliance support to product development and distribution functions. The Analyst will report to the WMF Compliance Officer in London.


Primary responsibilities will include:

  • Review marketing materials for WMF-Global funds, 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.
  • Advise and assist the KYD Review Group in developing and maintaining a Distributor Due Diligence programme.
  • Provide general support to the WMF-Global Compliance Officer, particularly in relation to new cross border distribution initiatives.


The successful candidate is likely to:

* Have a strong academic background, including an undergraduate degree;

* Relevant 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;

* Demonstrate a strong working knowledge of, and interest in, financial markets;

* 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 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 .