Senior Marketing Compliance Analyst

Wellington Management

. Support and enhance the firm’s US Marketing Compliance Program focusing primarily on compliance review of marketing materials for registered funds .

Posted 4/22/2026full-timeBoston • Massachusetts • 🇺🇸 United StatesSenior💰 $90,000 - $180,000 per yearWebsite

About the role

Key responsibilities & impact

Support and enhance the firm’s US Marketing Compliance Program focusing primarily on compliance review of marketing materials for registered funds
Advise stakeholders on the regulatory implication of complex marketing initiatives
Maintain relevant policies and procedures
Review marketing materials for funds to ensure compliance with regulatory guidelines
Provide regulatory advice to stakeholders on the application of the firm’s marketing guidelines
Assist with drafting appropriate disclosures
Conduct testing for compliance with applicable regulations and marketing policies and procedures
Partner with EMEA and APAC compliance colleagues to maintain a coordinated approach over the firm’s global marketing compliance program and tools
Monitor regulatory marketing-related developments, proposals and amendments and assess the compliance risk to the firm’s activities
Assess compliance risks related to the firm’s marketing activities and communicate effectively with the business, including senior management
Partner with business stakeholders to develop and deliver training, awareness initiatives, and related communications
Maintain the firm’s marketing policies and procedures
Assist with responding to examinations and inquiries by internal and external parties
Assist with the maintenance of Marketing Compliance related applications.

Requirements

What you’ll need

5+ years of relevant investment adviser, investment company compliance or compliance consultant experience
Bachelor's degree in finance, business administration, economics, marketing, or other related field of study
Direct experience reviewing marketing materials for 40 act registered funds (Privately offered fund marketing compliance experience a plus)
Expertise in rules and regulations applicable to marketing activities with an emphasis on Investment Company Act, SEC Marketing Rule, FINRA Rule 2210, Rule 482
Ability to apply analytical and decision-making skills in a collaborative and fast paced environment
Ability to exercise sound judgement, balance regulatory and policy standards with a business perspective
Ability to effectively prioritize tasks, consistently execute and meet strict deadlines
Strong written and oral communication skills; confidence interacting with all levels of management
Must have FINRA SIE, Series 7, and Series 24; candidate can obtain Series 24 after hire
Experience using data analysis tools and/or other technology solutions to strengthen internal processes and reporting a plus

Benefits

Comp & perks

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 (leave of absence, paid holidays, volunteer, sick and vacation time)

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance reviewmarketing complianceregulatory guidelinesdisclosures draftingcompliance testingrisk assessmentdata analysis40 act registered fundsinvestment company compliancemarketing policies

Soft Skills

analytical skillsdecision-makingcollaborationsound judgementtask prioritizationexecutiondeadline managementwritten communicationoral communicationstakeholder interaction

Certifications

FINRA SIESeries 7Series 24