COMPLIANCE ANALYST COMPLIANCE ANALYST …

Wellington Management Company, LLP
in London, United Kingdom
Permanent, Full time
Last application, 08 May 21
Competitive
Wellington Management Company, LLP
in London, United Kingdom
Permanent, Full time
Last application, 08 May 21
Competitive
Posted by:
Tahiya Chowdhury • Recruiter
Posted by:
Tahiya Chowdhury
Recruiter
Tracing our roots to 1928, Wellington Management Company 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

The Position

We are currently seeking a Compliance professional to support the distribution and marketing of Wellington Management Funds-Global (WMF-Global) funds internationally, 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 WMF Compliance Officer 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.

QUALIFICATIONS

The successful candidate is likely to:

  • Have a strong academic background, including an undergraduate degree;
  • Have minimum of 5 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;
  • 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.
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