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 60 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
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 ensures that all qualified applicants will receive equal consideration for employment without regard to r ace, 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 GMWTalentOperations@wellington.com
We believe that in person interactions inspire and energize our community and are essential to our culture. In support of this commitment, our employees work from our offices 4 days a week with flexibility to work remotely 1 day a week. We believe that this approach ultimately supports our mission to deliver investment excellence to our clients and their beneficiaries over the long term.
For almost 100 years, we have chosen to do things differently, including the way we structure our ownership model, organization, and investment platform. Critically, we know that the best investment ideas are found when a diverse workforce is encouraged to bring forward unique perspectives.
Wellington Management is one of the world’s largest independent investment management firms, serving as a trusted adviser to over 2,400 clients in more than 60 countries. We manage more than US$1 trillion for pensions, endowments and foundations, insurers, family offices, fund sponsors, global wealth managers, and other clients.
We offer comprehensive investment management capabilities that span nearly all segments of the global capital markets, including global equity, fixed income, currency, commodity, alternatives, and private markets. Leveraging more than 900 investment professionals located in offices around the world, we combine independent insights across asset classes, skill sets, and investment disciplines to uncover ideas for our clients, because we believe collaboration is a rare, repeatable competitive edge.
This independent structure and collegial culture are two of the main reasons investment professionals join Wellington Management — and stay for their entire careers.
For current open opportunities, please visit www.wellington.com/joinus
We are an equal opportunity employer and are committed to having a diverse workforce. Please visit http://www.wellington.com to learn more about our firm.
Important disclosure: https://www.wellington.com/en/important-disclosure
Wellington will not send unsolicited communications and investment opportunities initiated through social media platforms. Wellington does not perform business transactions, payment requests, or direct interactions through social media platforms. Please visit https://www.wellington.com/en/legal/privacy-notice for more information.
