Investment Compliance Analyst

Wellington Management

. Support investment teams to ensure investment transactions and holdings comply with client guidelines and regulatory requirements .

Posted 9/15/2026full-timeBoston • Massachusetts • United StatesMid-LevelSenior💰 $90,000 - $180,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in investment operations, compliance, and guideline monitoring, with a strong focus on ensuring adherence to client guidelines and regulatory requirements. Proficient in managing investment types, including equity, fixed income products, and derivative securities.

Highest-signal resume keywords

Guideline MonitoringInvestment OperationsRegulatory ComplianceAttention to DetailStrong Communication Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Investment TypesEquity ProductsFixed Income ProductsDerivative SecuritiesGuideline Monitoring Systems

Soft Skills

Strong Organizational SkillsInterpersonal AbilitiesResults-DrivenSelf-StarterAbility to Manage Competing Priorities

Tools & Technologies

Sentinel Guideline Monitoring SystemMicrosoft WordMicrosoft Excel

Industry Keywords

Investment Management AgreementsClient GuidelinesRegulatory Requirements

About the role

Key responsibilities & impact

Support investment teams to ensure investment transactions and holdings comply with client guidelines and regulatory requirements
Review Investment Management Agreements and evaluate client guidelines
Maintain the Sentinel guideline monitoring system
Perform real-time, pre-trade support with investors
Resolve post-trade incident exceptions generated from Sentinel
Collaborate with Guideline Monitoring Analysts, Global Relationship Teams, Product Management, and Portfolio Management
Develop a deep understanding of investment strategies relative to client guidelines and regulatory requirements

Requirements

What you’ll need

Working knowledge of investment types, including equity and fixed income products, and derivative securities
Prior experience in guideline monitoring, investment operations or compliance, or understanding of different regulatory regimes is advantageous but not required
Energetic, self-confident, and inquisitive
Self-starter who is results-driven and controls conscious
Strong organizational skills and ability to manage competing priorities
Strong interpersonal and communication abilities
Ability to work independently and collaboratively
Excellent attention to detail
Strong computer skills and digital literacy, particularly with Word, Excel, and similar software applications

Benefits

Comp & perks

Discretionary Corporate Bonus and/or Incentives, if eligible
Retirement plan
Health and wellbeing coverage
Dental coverage
Vision coverage
Pharmacy coverage
Health savings account
Flexible spending accounts
Commuter program
Employee assistance program
Life and disability insurance
Adoption assistance
Back-up childcare
Tuition/CFA reimbursement
Paid time off, including leave of absence, paid holidays, volunteer, sick and vacation time
Flexible work environment with remote work 1 day a week