Trade Surveillance Analyst

Job Title

Trade Surveillance Analyst

Compliance

280 Congress

The Trade Surveillance Analyst supports the firm’s global Trade and electronic communications 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.

• Analyze surveillance alerts and reports, conduct investigations as necessary and document 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.

• 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.
• Preferred:
  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.

As an equal opportunity employer, Wellington Management considers all qualified applicants will receive 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 or any other characteristic protected by applicable law.

Base salary range: USD 80,. Total compensation may also include discretionary corporate bonus, incentives, and a comprehensive benefits package that includes retirement plans, health and wellbeing, dental, vision, pharmacy coverage, health savings account, flexible spending accounts, employee assistance program, life and disability insurance, adoption assistance, back‑up childcare, tuition/CFA reimbursement and paid time off.