Principal, Investment Compliance

Wellington Management

. Serve as a senior subject matter expert and thought leader within Guideline Monitoring .

Posted 11/10/2026full-timeBoston • Massachusetts • United StatesLead💰 $120,000 - $225,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive expertise in asset management compliance and guideline monitoring, with a strong focus on regulatory requirements and operational excellence. Proven ability to lead cross-functional initiatives, mentor teams, and implement automated compliance solutions across diverse asset classes.

Highest-signal resume keywords

Asset Management ComplianceGuideline MonitoringRegulatory RequirementsCross-Functional LeadershipTechnical Proficiency in Compliance Systems

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Investment Management AgreementsGuideline CodingAutomated Compliance RulesData GovernanceRoot Cause AnalysisRisk IndicatorsThematic TrendsProcess OptimizationClient Due DiligenceRegulatory Inquiries

Soft Skills

MentorshipEffective CommunicationStrategic ThinkingProblem-SolvingDetail-Oriented

Tools & Technologies

SentinelSQLPowerBIExcelWorkflow Automation Platforms

Certifications & Qualifications

CFACPAJD

Industry Keywords

Investment Company Act of 1940Investment Advisers ActERISAUCITSAIFMDEquitiesFixed IncomeDerivativesAlternative InvestmentsOperational Excellence

Tech Stack

Tools & technologies

SQL

About the role

Key responsibilities & impact

Serve as a senior subject matter expert and thought leader within Guideline Monitoring
Provide mentorship, coaching, and technical guidance to Analysts and Principals
Promote a strong controls culture, accountability, and operational excellence
Act as a senior escalation point for complex pre- and post-trade guideline matters
Oversee interpretation of Investment Management Agreements, prospectuses, and regulatory requirements for implementation in the compliance monitoring system
Provide technical oversight on guideline coding, monitoring rules, and account set-up processes
Review material breaches, emerging risk indicators, and thematic trends
Partner with Legal, Compliance, Risk, Investment, Technology, and Product teams on regulatory developments and monitoring enhancements
Provide expertise on derivatives, structured products, and alternative investments
Lead root cause analyses and recommend control enhancements
Drive enhancements to guideline monitoring infrastructure, automation, data governance, and reporting
Expand testing frameworks, improve system functionality, and strengthen pre- and post-trade controls
Champion process optimization and scalable solutions
Contribute to the team’s multi-year roadmap
Establish best practices across asset classes and regions
Serve as senior liaison to Portfolio Managers, Product Management, Client Relationship Teams, Legal Services, Risk, and Technology
Provide expertise in client due diligence, internal governance forums, and regulatory inquiries
Communicate guideline interpretations and regulatory impacts to senior stakeholders
Represent Guideline Monitoring in cross-functional initiatives and working groups

Requirements

What you’ll need

12+ years of experience in asset management compliance, guideline monitoring, or investment operations
Deep knowledge of multiple asset classes, including equities, fixed income, derivatives, and alternative investments
Extensive experience interpreting client investment guidelines and implementing automated compliance rules
Strong working knowledge of relevant regulatory regimes, including the Investment Company Act of 1940, Investment Advisers Act, ERISA, UCITS, AIFMD, and other global regulations
Leadership through influence, with a track record of mentoring colleagues and driving cross-functional initiatives
Strategic thinking and ability to balance detailed technical analysis with broader business considerations
Strong project leadership capabilities, including managing cross-functional initiatives to successful outcomes
Highly analytical, detail-oriented, and controls-focused, with strong problem-solving skills
Effective communication with senior stakeholders, executive presence, and sound judgment
Strong academic credentials; an advanced degree or professional designation such as CFA, CPA, or JD is preferred
Technical proficiency in compliance systems and data tools such as Sentinel, SQL, PowerBI, Excel, and workflow automation platforms

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