Senior Compliance Analyst, EMEA
Senior Compliance Analyst, EMEA
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Job Description
WELLINGTON MANAGEMENT
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 50 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.
THE POSITION
We are currently seeking a compliance professional primarily to support our EMEA compliance program focusing on our activities across the European Union. This role involves close collaboration with business teams across the region operations legal and senior management to maintain a robust compliance framework and foster a culture of integrity and regulatory awareness. Based in Frankfurt the role will be responsible for advising local and regional business 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 Managements EU-based investment management firm Wellington Management Europe GmbH (WME) regulated by BaFIN & Bundesbank. This is a senior level position reporting to the Chief Compliance Officer EMEA (London-based) with local reporting to WMEs Senior Compliance Officer. While the role will focus on supporting our EU activities it will work closely with global compliance and legal teams based in London Luxembourg Boston New York Hong-Kong Singapore and Tokyo.
RESPONSIBILITIES
Regulatory Compliance
Monitor and interpret regulations including WpIG IFR WpHG MiFID II and other relevant global frameworks.
Collaborate with risk and legal teams on new product launches and business initiatives.
Ensure adherence to internal policies and regulatory requirements across all investment products and services.
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
Provide compliance support for WME and its branches including regulatory filings and managing regulatory audits & inspections
Identify assess and communicate regulatory developments relating to investment management services and financial promotions and the marketing & distribution of funds in the region
Compliance Oversight (Monitoring & Testing)
Conduct periodic compliance reviews
Review fund marketing and brand promotional materials including German language content
Execute monitoring and testing of marketing materials
Maintain and enhance compliance monitoring systems and tools.
Investigate and escalate breaches or anomalies
Policy Development & Training
Draft update and implement compliance policies and procedures
Develop and maintain marketing guidelines Q&As checklists and country specific marketing memos
Develop and deliver compliance training to the business (both in-person and via on-line modules)
Risk Management
Conduct risk assessments and annual compliance program reviews
Support internal audits and regulatory inspections
QUALIFICATIONS
The successful candidate will demonstrate the skills intellectual curiosity and motivation to work at a highly collaborative innovative global financial services firm. The most important qualifications for the role include:
At least four (4) years relevant experience (ideally in compliance product marketing or project management) at investment management and/or financial services firms. We will consider strong candidates with less than four years experience.
Ability to effectively communicate with fast-paced business 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 both independently and as part of a team
Fluency in German and English languages mandatory; Italian language skills a plus
Strong academic background including university degree
JOB TITLE
Senior Compliance Analyst EMEAJOB FAMILY
LOCATION
FrankfurtNot 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 .
We believe that in person interactions inspire and energize our community and are essential to our 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.
Required Experience:
Senior IC
Employment Type
Full-Time
