Trade Surveillance Analyst
$80,000–$150,000 year
Hybrid · Boston, Massachusetts, United States or Needham, 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 review of trading activity and related conduct. Analyze surveillance alerts, conduct investigations, and document findings; identify patterns indicating insider trading, market manipulation, or misuse of material non-public information. Apply quantitative and qualitative judgment to assess risk, prioritize reviews, and perform follow-up analysis. Document findings clearly and in line with internal standards; escalate issues to senior Compliance or Legal partners. Contribute to design, enhancement, and maintenance of surveillance programs leveraging AI and technology solutions; collaborate with Compliance, Legal, IT, and other stakeholders to address surveillance issues and enhance controls. Monitor regulatory developments to ensure processes remain compliant with SEC, FINRA, FCA, and other applicable laws; prepare regular management reports on surveillance activities and trends; lead or participate in projects to improve surveillance technology and data analytics capabilities; respond to regulatory inquiries and support audits. Requires 2-6 years of experience in trade surveillance or related roles, strong analytical capabilities, and excellent communication skills; familiarity with investment management environments and data analytics tools is a plus.
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
- 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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