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Trade Surveillance Analyst

Wellington Management -
Boston, MA

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Job Details

Full-time
$80,000 - $150,000 a year

Benefits

Commuter assistance
Health savings account
Paid holidays
Disability insurance
Dental insurance
Flexible spending account
Paid time off
Adoption assistance
Employee assistance program
Vision insurance
Retirement plan

Qualifications

Writing skills
Financial markets data analysis
Securities law
Cross-functional collaboration
Financial markets knowledge

Full Job Description

About Us

Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients.

About the Role

The Trade Surveillance Analyst is 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

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

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

Preferred Skills

Experience in investment management or asset management environments
Strong technology mindset, with experience partnering with vendors, IT, or data teams to enhance surveillance tooling, analytics, and automation
Experience leading or supporting surveillance system implementations or enhancements
Familiarity with data analytics and automation tools for surveillance

Not sure you meet 100% of our qualifications? That’s ok. If you believe that you could excel in this role, we encourage you to apply and welcome a chance to review your background. We are dedicated to building and maintaining a diversified workforce and considering a broad array of candidates with a variety of skill, workplace experiences, and backgrounds.

As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal 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, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law. If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at [email protected].

At Wellington Management, our approach to compensation is designed to help us attract, inspire and retain the best talent in our industry. We strive to pay employees fairly and competitively across all levels and roles. Our approach to compensation considers all aspects of total compensation; all employees are eligible to receive salary, variable compensation, and benefits. The base salary range for this position is:

USD 80,000 - 150,000

This range takes into account the wide range of factors that are considered when making compensation decisions, including but not limited to skill sets; role; skills and experience; certifications; and education. This range is an estimate, and further details on salary and total compensation aspects will be shared with candidates during the recruitment process.

Base salary is only one component of Wellington’s total compensation approach. Other rewards may include a discretionary Corporate Bonus and/ or Incentives, if eligible. In addition, we offer a comprehensive and high value benefit package to meet the unique needs of our employees and their families, and we are committed to fostering a flexible work environment that enables employees to thrive personally and professionally. Examples of our benefits include retirement plan, health and wellbeing, dental, vision, and pharmacy coverage, health savings account, flexible spending accounts and commuter program, employee assistance program, life and disability insurance, adoption assistance, back-up childcare, tuition/CFA reimbursement and paid time off (leave of absence, paid holidays, volunteer, sick and vacation time)

We believe that in person interactions inspire and energize our community and are essential to our culture. In support of this commitment, our employees work from our offices 4 days a week with flexibility to work remotely 1 day a week. We believe that this approach ultimately supports our mission to deliver investment excellence to our clients and their beneficiaries over the long term.

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