Principal, Guideline Monitoring

  • Competitive
  • Boston, MA, USA
  • Permanent, Full time
  • Wellington Management Company, LLP
  • 11 Dec 17 2017-12-11

Principal, Guideline Monitoring


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 Portfolio Guideline Monitoring Principal ("The Principal") is a senior member of the Portfolio Guideline Monitoring and Performance Team within Portfolio Services. Portfolio Services provides each of Wellington's investment teams with the data, controls, and support they need to ensure that their investment intent is accurately reflected in portfolios in accordance with client, regulatory and operational requirements.  Other teams within Portfolio Services include Portfolio Implementation, Portfolio Data, Portfolio Service Management, and Portfolio Accounting.
Responsibilities: Primary responsibilities:

  • Focus on providing support to investment teams to ensure investment transactions and holdings are compliant with client guidelines and regulatory requirements
  • Principal is part of the team that reviews client guidelines during the negotiation process, maintains the guideline monitoring system (Sentinel), and performs real-time, pre-trade support with investors
  • Principal will work collaboratively with Guideline Monitoring analysts and the management team as well as other internal teams (specifically Product Management and Portfolio Management)
  • Principal possesses a deep understanding of investment strategies in order to analyze how different underlying transactions and holdings impact complying with our client's guideline and regulatory requirements.
The successful candidate for this position is likely to:

A strong working knowledge of all investment types, particularly fixed income products and derivative securities. Prior experience monitoring investment guidelines, understanding regulatory requirements for 40 Act and UCITs funds, and coding investment restrictions into a compliance monitoring system (specifically Sentinel) is a plus. The candidate should be self-confident, a self-starter, results driven, energetic, have an inquisitive mind, and be controls conscious.  Strong organizational skills, an ability to manage assignments with competing priorities, excellent communication skills, and the ability to work both independently and as a member of a team are critical.

Principal, Guideline Monitoring

Portfolio Services

280 Congress

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 .