Guideline Monitoring Senior Analyst

Responsibilities

The Analyst will focus on providing support to investment teams, to ensure that investment transactions and holdings are compliant with client guidelines and regulatory requirements.

The Analyst will be part of the team that:

• Reviews Investment Management Agreements, evaluates client guidelines, and maintains the guideline monitoring system, called Sentinel
• Performs real-time, pre-trade support with investors
• Solves post-trade incident exceptions generated from Sentinel

Qualifications

• 4-7 years of industry experience
• Bachelor's degree in Finance or Business-related field
• Candidate must demonstrate a working knowledge of investment types, including equity and fixed income products, and derivative securities
• Prior experience in guideline monitoring, investment operations or compliance, or an understanding of different regulatory regimes would be advantageous but is not required
• Energetic, self-confident, and have an inquisitive mind
• An ideal candidate should be a self-starter who is results-driven, and be controls conscious
• Possess strong organizational skills and proven ability to manage assignments with competing priorities
• Exhibit strong interpersonal and communicative abilities
• Demonstrated capability to perform both independently and collaboratively
• Possess excellent attention to detail
• Exhibit strong proficiency in computer skills and digital literacy, particularly with Word, Excel, and similar software applications

Benefits

• Base salary range: USD 90,000 - 180,000
• Discretionary Corporate Bonus and/or Incentives, if eligible
• Comprehensive and high value benefit package including:
• Retirement plan
• Health and wellbeing
• Dental, vision, and pharmacy coverage
• Health savings account
• Flexible spending accounts and commuter program
• Employee assistance program
• Life and disability insurance
• Adoption assistance
• Back-up childcare
• Tuition/CFA reimbursement
• Paid time off (leave of absence, paid holidays, volunteer, sick and vacation time)

Company Information

Tracing our roots to 1928, Wellington Management Company, LLP is one of the world’s largest independent investment management firms. With over USD $1 trillion in assets under management as of 30 June 2025, we serve as a trusted adviser to institutional clients and mutual fund sponsors in over 60 countries. Our innovative investment solutions are built on the strength of proprietary, independent research and span the global capital markets, including equity, fixed income, multi-asset, and alternative strategies. As a private partnership whose sole business is investment management, our long-term views and interests are aligned with those of our clients. We are committed to attracting a talented and diverse workforce, and to fostering an open, collaborative, and inclusive culture because we believe multiple perspectives lead to more informed investment and business decisions. As an Equal Opportunity Employer, we welcome people with diverse life experiences, fresh ideas, and specialized subject-matter expertise.