About Us

Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients.

About the Role

POSITION

The Sales Practice Oversight Manager will be a part of the Business Operations & Strategic Delivery team as part of the Client Platform COO Group. The COO Group plays a critical role in the execution of the Client Platform strategy, providing leverage for leaders across the platform in the running of their business lines, driving scale and efficiency across the platform, and partnering with infrastructure leaders to ensure critical operations run smoothly. The Sales Practice Oversight Manager will collaborate closely with Legal & Compliance on the Client Platform’s behalf to ensure that our processes and controls achieve full compliance with US Securities laws and FINRA rules as efficiently as possible so that our salespeople can keep the majority of their focus on serving our clients and growing the business.

Specific responsibilities include:
• Conduct first-line oversight of broker-dealer activities
• Monitor supervisory reports and transactions for procedural compliance, following up with registered persons and supervisors as necessary
• Advise and support registered persons and supervisory principals
• Respond to regulatory-related questions from the business
• Salesforce maintenance and enhancements structure,
• Collaborate with sales teams to identify improvements for the broker dealer workflows, processes, and systems.
• Maintain and track funds distribution activity
• Oversight of communication reviews
• Assist with required inspections and annual audits.
• Create and maintain reporting for WFD leadership and board meetings.
• Target and conduct beneficial training opportunities to increase knowledge with appropriate processes, rules, or changes.
• Monitor regulatory changes and trends that impact our business.

QUALIFICATIONS

Specific qualifications include:
• 5+ years of relevant investment adviser or broker dealer experience (private placement experience a plus)
• Solid understanding with FINRA rules and the Investment Advisers Act
• Ability to self-start and think creatively
• Strong business judgment and global mindset
• Excellent written and oral communication skills. Strong presentation skills and comfort presenting in large groups with senior business management
• Ability to synthesize, condense and convey complex regulatory and policy information to key stakeholders in clear and simple terms
• Ability to influence outcomes through collaboration and well-developed advice
• Ability to apply analytical and decision-making skills in a collaborative and fast-paced, growth-oriented environment
• Prior success identifying, developing/planning and implementing projects that mitigate risk and lead to improved and scalable workflows
• Experience with Salesforce a plus
• Experience using data analysis tools and/or other technology solutions to strengthen internal controls a plus
• Licensed Series 7, 63 & 24 or ability to obtain licensing after hiring (prior licensing a plus)

Not sure you meet 100% of our qualifications? That’s ok. 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 skill, 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 are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at GMWTalentOperations@wellington.com.

At Wellington Management, our approach to compensation is designed to help us attract, inspire and retain the best talent in our industry. We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary, variable compensation, and benefits. The base salary range for this position is:

This range takes into account the wide range of factors that are considered when making compensation decisions, including but not limited to skill sets; role; skills and experience; certifications; and education. This range is an estimate, and further details on salary and total compensation aspects will be shared with candidates during the recruitment process.

Base salary is only one component of Wellington’s total compensation approach. Other rewards may include a discretionary Corporate Bonus and/ or Incentives, if eligible. In addition, we offer a comprehensive and high value benefit package to meet the unique needs of our employees and their families, and we are committed to fostering a flexible work environment that enables employees to thrive personally and professionally. Examples of our benefits include 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 and paid time off (leave of absence, paid holidays, volunteer, sick and vacation time)