Trade Surveillance Analyst
$80,000–$150,000 year
On-site · Boston, Massachusetts, United States
Job Summary
Trade Surveillance Analyst responsible for supporting the firm’s global Trade and eComm Surveillance Program by identifying, assessing, and escalating potential violations of firm policies and applicable regulations through the review of trading activity and related conduct. The role requires strong professional judgment, analytical rigor, and the ability to evaluate trading behavior in context. The Analyst partners closely with Compliance, Legal, Technology, and investment stakeholders to help safeguard the integrity of the firm’s investment process. Responsibilities include analyzing surveillance alerts and reports, conducting investigations, identifying patterns indicating insider trading or market manipulation, applying quantitative and qualitative judgment to assess risk, performing follow-up analysis, documenting findings clearly, escalating issues to senior partners, and contributing to the design and enhancement of surveillance programs leveraging AI and technology solutions. The role also involves monitoring regulatory developments and supporting audits, preparing management reports, and helping to advance surveillance data analytics capabilities.
Required Qualifications
- 2-6 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
- Experience in investment management or asset management environments (preferred)
Desired Qualifications
- 2-6 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
- Experience in investment management or asset management environments (preferred)
- Strong technology mindset, with experience partnering with vendors, IT, or data teams to enhance surveillance tooling, analytics, and automation (preferred)
- Experience leading or supporting surveillance system implementations or enhancements (preferred)
- Familiarity with data analytics and automation tools for surveillance (preferred)
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