What are the responsibilities and job description for the Trade Surveillance Analyst position at TalentAlly?
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
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 GMWTalentOperations@wellington.com.
Benefits
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.
VEVRAA Federal Contractor.
We request Priority Protected Veteran & Disabled Referrals for all of our locations within the state.
PDN-a1fc8a23-ec20-4b28-8bd4-dc0b5ac06c0f
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 nonpublic information
- Apply quantitative and qualitative judgment to assess risk and prioritize reviews
- Conduct followup 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
- 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
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 GMWTalentOperations@wellington.com.
Benefits
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.
VEVRAA Federal Contractor.
We request Priority Protected Veteran & Disabled Referrals for all of our locations within the state.
PDN-a1fc8a23-ec20-4b28-8bd4-dc0b5ac06c0f