Sr Guideline Monitoring Analyst

About Us

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

Tracing our roots to 1928, Wellington Management Company, LLP is one of the world’s largest independent investment management firms. With over USD $1 trillion in assets under management as of 30 June 2025, we serve as a trusted adviser to institutional clients and mutual fund sponsors in over 60 countries. Our innovative investment solutions are built on the strength of proprietary, independent research and span the global capital markets, including equity, fixed income, multi‑asset, and alternative strategies. We are currently seeking a Senior Guideline Monitoring Analyst who will be part of the Investment Operations Team within the Global Operations. The Global Operations division brings technology and operations together to deliver better and more efficient outcomes for our clients and business partners.

Responsibilities

• The Analyst will focus on providing support to investment teams, to ensure that investment transactions and holdings are compliant with client guidelines and regulatory requirements.
• The Analyst will be part of the team that reviews Investment Management Agreements, evaluates client guidelines, codes rules, and maintains the guideline monitoring system, ION Sentinel.
• Performs real‑time, pre‑trade support with investors.
• Resolves post‑trade incident exceptions generated from Sentinel.
• The Analyst will work collaboratively with other Guideline Monitoring Analysts, as well as other internal teams, specifically our Global Relationship Teams, Product Management, and Portfolio Management.
• The Analyst will develop a deep understanding of investment strategies relative to client guidelines and regulatory requirements.

Qualifications

• 3‑7 years of industry experience.
• Bachelor's degree in Finance or Business‑related field.
• Candidate must demonstrate a working knowledge of investment types, including equity and fixed income products, and derivative securities.
• Prior experience in guideline monitoring, investment operations or compliance, or an understanding of different regulatory regimes (UCITS, AIFMD, German/Swiss Regs).
• Familiarity with AI‑enabled productivity tools, such as ChatGPT, Claude, Microsoft Copilot, or similar platforms, and an ability to apply them thoughtfully to improve efficiency, research, analysis, and workflow execution would be advantageous.
• Candidate should be energetic, self‑confident, and have an inquisitive mind.
• An ideal candidate should be a self‑starter who is results‑driven, and be controls conscious.
• Possess strong organizational skills and proven ability to manage assignments with competing priorities.
• Exhibit strong interpersonal and communicative abilities.
• Demonstrated capability to perform both independently and collaboratively.
• Possess excellent attention to detail.
• Exhibit strong proficiency in computer skills and digital literacy, particularly with Word, Excel, and similar software applications.

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 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.