Sales Practice Oversight Manager
Sales Practice Oversight Manager
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Job Description
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 longterm view that aligns our perspectives with those of our clients.
About the Role
POSITION
The Sales Practice Oversight Manager will be a part of the Business Operations & Strategic Delivery team as part of the Client Platform COO Group. The COO Group plays a critical role in the of the Client Platform strategy providing leverage for leaders across the platform in the running of their business lines driving scale and efficiency across the platform and partnering with infrastructure leaders to ensure critical operations run smoothly. The Sales Practice Oversight Manager will collaborate closely with Legal & Compliance on the Client Platforms behalf to ensure that our processes and controls achieve full compliance with US Securities laws and FINRA rules as efficiently as possible so that our salespeople can keep the majority of their focus on serving our clients and growing the business.
Specific responsibilities include:
Conduct firstline oversight of brokerdealer activities
Monitor supervisory reports and transactions for procedural compliance following up with registered persons and supervisors as necessary
Advise and support registered persons and supervisory principals
Respond to regulatoryrelated questions from the business
Salesforce maintenance and enhancements structure
Collaborate with sales teams to identify improvements for the broker dealer workflows processes and systems.
Maintain and track funds distribution activity
Oversight of communication reviews
Assist with required inspections and annual audits.
Create and maintain reporting for WFD leadership and board meetings.
Target and conduct beneficial training opportunities to increase knowledge with appropriate processes rules or changes.
Monitor regulatory changes and trends that impact our business.
QUALIFICATIONS
Specific qualifications include:
5 years of relevant investment adviser or broker dealer experience (private placement experience a plus)
Solid understanding with FINRA rules and the Investment Advisers Act
Ability to selfstart and think creatively
Strong business judgment and global mindset
Excellent written and oral communication skills. Strong presentation skills and comfort presenting in large groups with senior business management
Ability to synthesize condense and convey complex regulatory and policy information to key stakeholders in clear and simple terms
Ability to influence outcomes through collaboration and welldeveloped advice
Ability to apply analytical and decisionmaking skills in a collaborative and fastpaced growthoriented environment
Prior success identifying developing/planning and implementing projects that mitigate risk and lead to improved and scalable workflows
Experience with Salesforce a plus
Experience using data analysis tools and/or other technology solutions to strengthen internal controls a plus
Licensed Series 7 63 & 24 or ability to obtain licensing after hiring (prior licensing a plus)
JOB TITLE
Sales Practice Oversight ManagerJOB FAMILY
Client GroupLOCATION
280 CongressNot sure you meet 100 of our qualifications Thats 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 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 .
At Wellington Management our approach to compensation is designed to help us attract inspire and retain the best talent in our industry.We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary variable compensation and benefits. The base salary range for this position is:
USDThis range takes into account the wide range of factors that are considered when making compensation decisions including but not limited to skill sets; role; skills and experience; certifications; and education. This range is an estimate and further details on salary and total compensation aspects will be shared with candidates during the recruitment process.
Base salaryis only one component of Wellingtons total compensation approach. Other rewards may include a discretionary Corporate Bonus and/ or Incentives if eligible. In addition we offer a comprehensive and high value benefit package to meet the unique needs of our employees and their families and we are committed to fostering a flexible work environment that enables employees to thrive personally and professionally. Examples of our benefits include retirement plan health and wellbeing dental vision and pharmacy coverage health savings account flexible spending accounts and commuter program employee assistance program life and disability insurance adoption assistance backup childcare tuition/CFA reimbursement and paid time off (leave of absencepaid holidays volunteer sick and vacation time).
Required Experience:
Manager
Employment Type
Full-Time
