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 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 Managements EU-based investment management firm Wellington Management Europe GmbH (WME). The Senior Analyst will report to WMEs 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&As 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 3 years of relevant experience (ideally in compliance or product marketing) at investment management and/or financial services firms with 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
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
