Trade Surveillance Analyst

Wellington Management

Trade Surveillance Analyst supporting global Trade Surveillance Program by analyzing trading activity. Collaborating with Compliance, Legal, and Technology teams to safeguard investment integrity.

Posted 6/9/2026full-timeLondon • Massachusetts • 🇺🇸 United StatesMid-LevelSenior💰 $80,000 - $150,000 per yearWebsite

About the role

Key responsibilities & impact

Analyze surveillance alerts and reports, conducting investigations as necessary and documenting findings.
Identify patterns that may indicate insider trading, market manipulation, or misuse of material non‑public information.
Apply quantitative and qualitative judgment to assess risk and prioritize reviews.
Conduct follow‑up analysis, including review of trading context, market events, and related activity.
Perform business inquiries where required to understand investment rationale.
Document findings clearly, accurately, and in line with internal standards.
Escalate potential issues to senior Compliance or Legal partners as appropriate.
Contribute to the design, enhancement, and ongoing maintenance of surveillance programs for both trading activity and electronic communications, leveraging AI, industry best practices and technology solutions.
Collaborate with Compliance, Legal, IT, and other stakeholders to address surveillance issues and enhance controls.
Monitor regulatory developments and ensure surveillance processes remain compliant with applicable laws and regulations (e.g., SEC, FINRA, FCA).
Prepare regular management reports on surveillance activities, trends, and issues.
Lead or participate in projects to improve surveillance technology and data analytics capabilities.
Respond to regulatory inquiries and support internal/external audits related to surveillance.

Requirements

What you’ll need

3-5 years of experience in trade surveillance, compliance, or related functions within the financial services industry.
Strong analytical capabilities and sound professional judgment.
Ability to synthesize complex information and communicate conclusions clearly in writing.
High standards of integrity, discretion, and attention to detail.
Knowledge of securities regulations and market abuse risks.
Effective written and verbal communication skills with ability to present complex information clearly.
Ability to work collaboratively across departments and with senior management.

Benefits

Comp & perks

Retirement plan
Health and wellbeing coverage
Dental, vision, and pharmacy coverage
Health savings account
Flexible spending accounts
Commuter program
Employee assistance program
Life and disability insurance
Adoption assistance
Back-up childcare
Tuition/CFA reimbursement
Paid time off (leave of absence, paid holidays, volunteer, sick and vacation time)

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

trade surveillancerisk assessmentdata analyticsquantitative analysisqualitative analysisinvestigative techniquesreport writingsurveillance program designcompliance monitoringregulatory inquiry response

Soft Skills

analytical capabilitiesprofessional judgmentcommunication skillsattention to detailintegritydiscretioncollaborationsynthesis of complex informationpresentation skillsstakeholder engagement