At a Glance
- Tasks: Analyse trading activities to identify potential violations and enhance surveillance programs.
- Company: Join Wellington Management, a leader in investment management with a collaborative culture.
- Benefits: Competitive salary, flexible work options, and comprehensive benefits package.
- Other info: Dynamic environment with opportunities for career growth and collaboration across departments.
- Why this job: Make a real impact by safeguarding the integrity of financial markets.
- Qualifications: 3-5 years in trade surveillance or compliance; strong analytical skills required.
The predicted salary is between 80000 - 150000 £ per year.
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.
Key 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
- 3-5 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.
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.
Trade Surveillance Analyst in London employer: Wellington Management Company
Wellington Management is an exceptional employer that prioritises employee growth and well-being, offering a comprehensive benefits package and a collaborative work culture in the heart of London. As a Trade Surveillance Analyst, you will thrive in an environment that values independent thought and innovation, with opportunities to enhance your skills through meaningful projects and partnerships across departments. Our commitment to a flexible work environment, combined with our focus on integrity and professional development, makes Wellington a rewarding place to build your career.
Contact Details:
Wellington Management Company Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Trade Surveillance Analyst in London
✨Tip Number 1
Network like a pro! Reach out to folks in the industry, attend events, and connect on LinkedIn. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching the company and role thoroughly. Understand their values and how your skills align with their needs. This will help you stand out and show that you're genuinely interested.
✨Tip Number 3
Practice your responses to common interview questions. Use the STAR method (Situation, Task, Action, Result) to structure your answers. This will help you communicate your experiences clearly and effectively.
✨Tip Number 4
Don’t forget to follow up after your interview! A simple thank-you email can leave a lasting impression and keep you top of mind. Plus, it shows your enthusiasm for the role.
We think you need these skills to ace Trade Surveillance Analyst in London
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter for the Trade Surveillance Analyst role. Highlight your relevant experience in trade surveillance or compliance, and don’t forget to mention any specific skills that match the job description.
Show Off Your Analytical Skills:Since this role requires strong analytical capabilities, be sure to include examples of how you've used these skills in previous jobs. Whether it’s identifying patterns or conducting investigations, we want to see your thought process!
Be Clear and Concise:When documenting your findings or writing your application, clarity is key. Use straightforward language and structure your thoughts logically. This will show us that you can communicate complex information effectively, just like the role demands.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it’s super easy to do!
How to prepare for a job interview at Wellington Management Company
✨Know Your Regulations
Familiarise yourself with the key securities regulations and market abuse risks relevant to the role. Being able to discuss these confidently will show that you understand the compliance landscape and can navigate it effectively.
✨Showcase Your Analytical Skills
Prepare examples of how you've used your analytical capabilities in previous roles. Be ready to discuss specific instances where you identified patterns or assessed risks, as this is crucial for a Trade Surveillance Analyst.
✨Communicate Clearly
Practice articulating complex information in a straightforward manner. During the interview, aim to demonstrate your ability to synthesise information and present your conclusions clearly, as effective communication is key in this role.
✨Collaborate and Connect
Highlight your experience working collaboratively across departments. Be prepared to discuss how you've partnered with compliance, legal, or IT teams in the past, as teamwork is essential for success in this position.
