Investment Principal Jobs
Investment Principal jobs are open across private equity, venture capital, asset management, and growth equity, from associate-level to managing principal, with specializations in deal origination, portfolio management, and fund strategy. See the openings below and apply to the ones that match your experience.
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Showing 5 of 12+ Investment Principal jobs
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 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:
USD 120,000 - 225,000This 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)
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.
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 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:
USD 120,000 - 225,000This 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)
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.
See All 12 Investment Principal Jobs
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Find Investment Principal JobsInvestment Principal Job Market
Who's Hiring
Top Industries Hiring
- Investment & Asset Management
- Education
What Employers Look For
The qualifications that appear most often in investment principal jobs.
- Five or more years of experience in private equity, venture capital, or investment banking
- Demonstrated ability to source, evaluate, and execute investment transactions independently
- Strong financial modeling skills including LBO, DCF, and comparable company analysis
- MBA or equivalent advanced degree from an accredited institution preferred
- Experience managing portfolio company relationships and board-level reporting
- CFA designation or progress toward it valued for asset management and credit-focused roles
Tips for Your Investment Principal Job Search
Tailor your resume to deal stage
Investment principals are hired for specific mandates, so your resume should reflect the stage and check size you've worked in. Early-stage VC experience reads differently than growth equity or buyout, and hiring teams notice when you match their fund's thesis.
Quantify your sourcing and deployment activity
Generic resume bullets about 'supporting investments' won't stand out. Cite the number of deals you sourced, screened, or closed, the sectors you covered, and the capital you helped deploy. These specifics are what investment committees look for.
Apply early to roles that fit
Migrate Mate lists investment principal openings from across the United States in one place, so you can find roles that match and apply directly to each listing. Applying early gives you a better shot before a search fills its pipeline.
Signal your sector thesis clearly
Many principal searches are sector-specific, covering fintech, healthcare services, industrials, or software. If you have a defined coverage area, make it prominent in your resume headline and cover note so hiring partners can immediately see the fit.
Prepare a live deal for the case interview
Most investment principal interviews include a case study or live deal review. Walk in with a current investment thesis in your target sector, including entry valuation, expected return, and key risks. Using a real company shows you're already doing the work.
Negotiate carry and co-investment rights, not just base
At the principal level, carried interest and co-investment access often matter more than base compensation. When an offer comes, ask directly about the carry structure, vesting timeline, and whether principals receive co-invest rights on individual deals.
Investment Principal Jobs: Frequently Asked Questions
Which companies are hiring the most investment principals?
The companies hiring the most investment principals right now include State Street, USAA, and Invesco, with the largest share of openings in California, Massachusetts, and Texas, based on current listings on Migrate Mate as of November 2026. Demand is concentrated at growth-stage funds and middle-market private equity firms actively deploying capital.
How many investment principal jobs are remote?
About 60% of investment principal openings are fully remote or hybrid as of November 2026, with remote arrangements more common in venture capital and infrastructure investing than in buyout or growth equity roles where deal teams rely on in-person diligence and portfolio engagement.
How do you become an investment principal?
Most investment principals move up from an analyst or associate role at a fund, investment bank, or corporate development team. Building a record of sourcing deals, leading diligence, and contributing to investment committee decisions is the core path. Earning an MBA often accelerates the transition from associate to principal, and developing a defined sector thesis makes you a more competitive candidate at funds with focused mandates.
Can you get hired as an investment principal with little experience?
Direct promotion into a principal role with limited investing experience is rare, but not impossible if you bring a highly differentiated network or sector expertise. Operators who have founded or led companies in a fund's target sector are sometimes hired at the principal level to anchor a vertical. For most candidates, the realistic path is two to four years as an associate followed by a promotion or lateral move.
What does the investment principal interview process look like?
The process typically starts with an introductory call with a recruiter or chief of staff, followed by one or two rounds with general partners or managing directors covering your deal experience and investment thesis. A case study or modeling exercise is standard, often involving a live company in the fund's focus area. Final rounds usually include a presentation to the full investment committee and reference checks with former deal colleagues.
Where can I find and apply to investment principal jobs?
You can find and apply to investment principal jobs on Migrate Mate, which lists current openings from across the United States. Search the listings to find roles that match your sector focus and deal experience, then apply directly to each one that fits.
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