Principal, Investment Compliance

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

Tracing our roots to 1928, Wellington Management Company, LLP is one of the world’s largest independent investment management firms. With over US$1 trillion in assets under management as of June 30, 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 nearly all segments of 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 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 individuals with diverse life experiences, fresh ideas, and specialized subject-matter expertise.

Overview

The Principal, Investment Compliance will serve as a senior leader who will be part of the Investment Operations Team within Global Operations. The Global Operations division brings technology and operations together to deliver better and more efficient outcomes for our clients and business partners. The Guideline Monitoring team provides Wellington’s investment teams with the data, controls, technology, and operational partnership required to ensure that investment intent is executed in accordance with client guidelines, regulatory obligations, and internal risk standards.

The principal will act as a functional leader and subject matter authority for guideline monitoring across asset classes. This role combines deep regulatory expertise, operational oversight, strategic influence, and mentorship. The principal will serve as a key escalation point for complex compliance matters, a trusted advisor to senior stakeholders across the firm, and a driver of continuous improvement in compliance monitoring capabilities, systems, and processes.

This role does not carry formal people management responsibilities but requires strong leadership through influence, coaching, and enterprise partnership.

Responsibilities

Functional Leadership & Mentorship

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

· Provide mentorship, coaching, and technical guidance to Analysts and Principals, fostering professional development and strengthening team expertise.

· Lead by example in promoting a strong controls culture, accountability, and operational excellence.

· Act as a senior escalation point for complex pre- and post-trade guideline matters, partnering with colleagues to drive timely and risk-conscious resolutions.

· Contribute to talent development initiatives, training programs, and knowledge-sharing forums across the team.

Guideline Oversight & Risk Management

· Oversee the interpretation of Investment Management Agreements, prospectuses, and regulatory requirements to ensure accurate implementation within the compliance monitoring system (e.g., Sentinel).

· Provide technical oversight and challenge on complex guideline coding, monitoring rules, and account set-up processes.

· Review material breaches, emerging risk indicators, and thematic trends to strengthen the overall control environment.

· Partner with Legal, Compliance, Risk, and Investment teams to evaluate regulatory developments (e.g., 1940 Act, UCITS, ERISA, AIFMD, and other global frameworks) and implement necessary monitoring enhancements.

· Provide expertise on complex instruments, including derivatives, structured products, and alternative investments.

· Lead root cause analyses for significant issues and recommend control enhancements to mitigate recurrence.

Strategic Initiatives & Platform Evolution

· Drive strategic enhancements to guideline monitoring infrastructure, automation, data governance, and reporting capabilities.

· Partner with Technology and Product teams to expand testing frameworks, improve system functionality, and strengthen pre- and post-trade controls.

· Champion process optimization and scalable solutions to support business growth and product innovation.

· Contribute to the development and execution of the team’s multi-year roadmap aligned with firm-wide priorities.

· Establish best practices and promote consistency across asset classes and regions.

Stakeholder Engagement & Governance

· Serve as a senior liaison to Portfolio Managers, Product Management, Client Relationship Teams, Legal Services, Risk, and Technology.

· Provide subject matter expertise in client due diligence discussions, internal governance forums, and regulatory inquiries, as appropriate.

· Communicate complex guideline interpretations and regulatory impacts clearly and effectively to senior stakeholders.

· Represent the Guideline Monitoring function in cross-functional initiatives and working groups.

Qualifications

The successful candidate is likely to:

· Possess 12+ years of experience in asset management compliance, guideline monitoring, or investment operations.

· Demonstrate deep knowledge of multiple asset classes, including equities, fixed income, derivatives, and alternative investments.

· Have extensive experience interpreting client investment guidelines and implementing automated compliance rules.

· Exhibit strong working knowledge of relevant regulatory regimes (e.g., Investment Company Act of 1940, Investment Advisers Act, ERISA, UCITS, AIFMD, and other global regulations).

· Demonstrate leadership through influence, with a track record of mentoring colleagues and driving cross-functional initiatives.

· Be a strategic thinker capable of balancing detailed technical analysis with broader business considerations.

· Exhibit strong project leadership capabilities, including managing cross-functional initiatives to successful outcomes.

· Be highly analytical, detail-oriented, and controls-focused, with strong problem-solving skills.

· Communicate effectively with senior stakeholders, demonstrating executive presence and sound judgment.

· Hold strong academic credentials; an advanced degree or professional designation (e.g., CFA, CPA, JD) is preferred.

· Demonstrate technical proficiency in compliance systems and data tools (e.g., Sentinel, SQL, PowerBI, Excel, workflow automation platforms).

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 r ace, 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 acco