Trade Surveillance Analyst
$80,000–$150,000 year
On-site · London, England, United Kingdom or Boston, Massachusetts, United States
Job Summary
Trade Surveillance Analyst responsible for supporting Wellington Management's global Trade and eComm Surveillance Program by identifying, reviewing, and escalating potential violations; analyze surveillance alerts, conduct investigations, document findings, and collaborate with Compliance, Legal, IT, and investment stakeholders; contribute to design and enhancement of surveillance programs, monitor regulatory developments, prepare management reports, and support audits, with a focus on maintaining integrity of trading activity and adherence to SEC/FINRA/FCA regulations.
Required Qualifications
- 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
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