Compliance Officer, EMEA Wealth (Frankfurt or London)

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

The Position

We are currently seeking an experienced compliance professional to lead our marketing and distribution compliance function across the EMEA region, focusing on cross-border fund distribution activities, sales practices advisory and oversight of marketing content compliance. This role will work closely with our EMEA Marketing and Wealth sales teams across the UK, EU and Middle East, advising on sales practices, monitoring cross-border regulations across EMEA, updating relevant policies, procedures and guidance, and approving German language marketing content. While focused on the EMEA region, this role will work closely with marketing compliance colleagues in APAC and Americas. This role can be based in our Frankfurt or London offices, however, fluency in both English and German is required.

Primary responsibilities will include:

• Serve as the Team Lead for the EMEA Marketing & Sales Compliance Team, including setting function’s strategic focus, defining priorities, allocating responsibilities across team members and taking accountability for execution and delivery

• Serve as a strategic thought partner to senior business leaders in the EMEA Marketing and Wealth sales teams

• Provide day to day advice to the EMEA region marketing and sales teams on fund distribution requirements across the EMEA region for both UCITS and AIFs (Luxembourg & Cayman)

• Serve as the lead liaison for the U.S. based privates investing business for marking and distribution of private equity, credit and evergreen funds in the EMEA region

• Identify, assess and communicate regulatory developments relating to financial promotions and the marketing & distribution of funds in the region

• Review and improve workflows and processes for marketing content reviews, leveraging technology and third-party service providers, to create scale while also addressing local market needs

• Improve and develop new tools and approaches to efficiently deliver country and product specific sales and marketing information and advice to business teams, leveraging AI and technology as appropriate

• Develop and execute a compliance training strategy for sales and marketing teams in the region

• Represent the firm in industry forums relating to fund marketing and distribution in the region

• Provide advice and support to the Compliance Officer of our German affiliate, Wellington Management Europe GmbH (WME), on relevant German and EU regulations

The critical qualifications for the role include:

• At least six (6) years of relevant experience at investment management and/or financial services firms, with at least three (3) years’ experience with fund-related marketing materials and/or fund distribution

• Ability to effectively communicate with senior leadership and sales and marketing teams, influencing outcomes and mitigating regulatory risk

• Demonstrated career progression and commitment to professional development

• Demonstrated ability to lead and influence without authority; experience as a people manager preferred, but not essential

• Commercial and growth mindset, geared at finding solutions that balance business and regulatory needs; comfort with making risk-based decisions

• Ability to work under pressure, both independently and as part of a team

• Fluency in German and English languages a must; Italian language skills a plus

• Strong academic background, including university degree

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.

We believe that in person interactions inspire and energize our community and are essential to our culture. In support of this commitment, our employees work from our offices 4 days a week with flexibility to work remotely 1 day a week. We believe that this approach ultimately supports our mission to deliver investment excellence to our clients and their beneficiaries over the long term.