Compliance Analyst, EMEA

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.

About the Role

The Position

We are currently seeking a Compliance professional to support our marketing and distribution activities in the EMEA region. The focus of the role will be the review and approval of marketing materials and advising the sales teams on compliance matters. The role is an excellent opportunity for an individual to develop knowledge across multiple jurisdictions and exposure to a wide range of marketing and distribution activities. The Analyst will report to the Chief Compliance Officer, EMEA, work closely with other members of the EMEA Client Platform Compliance team and collaborate with colleagues across our global Legal & Compliance teams. This role will be based in our London office with an expectation of working from the office four days per week. Ideally, the successful candidate will have sufficient fluency in Italian or German to review Italian or German marketing materials. We will consider applicants based in Frankfurt and Luxembourg as well.

Primary responsibilities will include:

• Review and approve marketing materials used in the EMEA region, including materials created in Italian or German.
• Provide day to day advice to regional sales and marketing teams on marketing content and distribution requirements across EMEA.
• Develop and maintain marketing guidelines, Q&A’s, checklists, and country specific marketing memos.
• Conduct compliance monitoring on marketing materials and sales practices.
• Keep abreast of new regulatory developments and their impact and review of financial promotions.
• Provide compliance training to the business, specifically in relation to marketing and distribution, and more generally where required.

The successful candidate is likely to have:

• Strong academic background, including an undergraduate degree.
• 2-5 years compliance experience, ideally gained at a buy-side, asset management firm.
• Experience reviewing financial promotions and fund-related marketing materials.
• Familiarity with cross-border distribution of UCITs and AIFs in UK, EU or MENA.
• Good understanding of asset management industry and capital markets.
• Good business judgment and comfort navigating “grey” areas.
• Collaborative and proactive mindset, with ability to deliver under tight deadlines.
• Strong technology skills and curiosity about improving productivity through technology.
• Fluency in English and either Italian or German.

Not sure you meet 100% of our requirements? 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 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 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.