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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.
We are transitioning to a hybrid work environment where both remote work and the office play a critical role. Our vision is a future where all employees are empowered to work flexibly to drive the best outcomes for our clients. Flexible work is a mindset and a core value. Our employees are encouraged to work remotely two days a week as a standard practice and will have flexibility in terms of working hours.
About the role
The Guideline Monitoring Analyst (“The Analyst”) will be part of the Investment Implementation team within the Investment Services and Technology group (InvesTech). InvesTech brings technology and operations together to deliver better, more efficient outcomes for our clients and business partners. In addition to Investment Implementation, InvesTech is comprised of the Infrastructure Design, InvesTech Operations, and Technology teams.
Responsibilities
- The Analyst will focus on providing support to our investment teams, to ensure that all investment transactions and holdings are compliant with client guidelines and regulatory requirements.
- The Analyst will be part of the team that gets involved in all aspects of the account lifecycle, across all asset classes. This will include but is not limited to i) The review of Investment Management Agreements, evaluating and interpreting client guidelines, and coding the subsequent restrictions into the guideline monitoring system, Sentinel, ii) performing real-time, pre-trade support with investors, iii) review and resolve post-trade incident exceptions generated from Sentinel and iv) service on-going ad-hoc queries from our internal and external stakeholders.
- 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, to develop a deep understanding of investment strategies relative to client guidelines and regulatory requirements and will be actively encouraged to utilize this understanding to drive enhancements to the existing technology/workflows.
Qualifications
The successful candidate is likely to:
- Demonstrate a working knowledge of investment types, including equity and fixed income products, and derivative securities;
- Prior Guideline Monitoring, Investment Operations or Investment Compliance experience and/or an understanding of different regulatory regimes would be advantageous but not required.
- Be self-confident, a self-starter, results driven, energetic, have an inquisitive mind, and be controls conscious.
- Have strong organisational skills, an ability to manage assignments with competing priorities, excellent communication skills, and the ability to work both independently and as a member of a team.
- Have strong attention to detail and computer literacy (knowledge of Word, Excel, and similar tools).
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.
