We are currently seeking a compliance professional primarily to support the sales and marketing compliance program, focusing on support of cross-border distribution activities, marketing content, and sales practices. Based in Frankfurt and working closely with the London-based Marketing Compliance team, the role will be responsible for advising local and regional sales teams on compliance matters, monitoring cross-border regulations across EMEA, reviewing financial promotion content, and updating relevant policies, procedures, and guidance. This position also will support the compliance program of Wellington Management’s EU-based investment management firm, Wellington Management Europe GmbH ("WME"). The Senior Analyst will report to WME’s Chief Compliance Officer and will work closely with the broader London-based EMEA Compliance team and the global Marketing Compliance colleagues based in the Americas and APAC.
Responsibilities
1. Review fund marketing and brand promotional materials, including German language content.
2. Provide day-to-day advice to the EMEA region sales and marketing teams on marketing content and distribution requirements across the EMEA region (including EU, UK, Switzerland & Dubai) and provide backup support for marketing teams in the US and APAC.
3. Develop and maintain marketing guidelines, Q&A’s, checklists, and country-specific marketing memos.
4. Execute monitoring and testing of marketing materials.
5. Identify, assess, and communicate regulatory developments relating to financial promotions and the marketing & distribution of funds in the region.
6. Develop and deliver compliance training to the business (both in-person and via online modules).
7. Provide compliance support for WME and its branches, including regulatory filings and managing regulatory audits & inspections.
Qualifications
* At least 3 years of relevant experience (ideally in compliance or product marketing) at investment management and/or financial services firms, with experience with fund-related financial promotions and/or fund distribution in the region.
* Ability to effectively communicate with sales and marketing teams, influencing outcomes and mitigating regulatory risk.
* Demonstrated career progression and commitment to professional development.
* Commercial and growth mindset, geared at finding solutions that balance business and regulatory needs.
* Ability to work under pressure, both independently and as part of a team.
* Fluency in German and English languages; Italian language skills a plus.
* Strong academic background, including a university degree.
Not sure you meet 100% of our qualifications? That’s okay. 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 skills, workplace experiences, and backgrounds.
As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information, or any other characteristic protected by applicable law. If you are a candidate with a disability or assisting a candidate with a disability and require accommodation to apply for a job, please email us.
We believe in-person interactions inspire and energize our community and are essential to our culture. Employees work from our offices 4 days a week with flexibility to work remotely 1 day a week, supporting our mission to deliver investment excellence over the long term.
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