At a Glance
- Tasks: Analyse trading activities to identify potential violations and enhance surveillance programs.
- Company: Wellington Management, a leader in investment management with a collaborative culture.
- Benefits: Competitive salary, comprehensive benefits, flexible work environment, and professional development opportunities.
- Other info: Opportunity for career growth in a supportive and diverse workplace.
- Why this job: Join a dynamic team to safeguard investment integrity and make a real impact in finance.
- Qualifications: 3-5 years in trade surveillance or compliance, strong analytical skills, and attention to detail.
The predicted salary is between 64000 - 120000 £ 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
- Analyse 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 prioritise 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 synthesise 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.
Trade Surveillance Analyst in London employer: Wellington Management
Wellington Management is an exceptional employer, offering a collaborative culture that values independent thought and encourages professional growth. Located in London, the firm provides a comprehensive benefits package, including competitive compensation, flexible work arrangements, and extensive support for employee wellbeing, ensuring that team members thrive both personally and professionally. With a commitment to diversity and inclusion, Wellington Management fosters an environment where all employees can contribute meaningfully to the firm's mission of delivering investment excellence.
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 with people 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 the role. Understand their values and how your skills align with what they’re looking for. This will help you stand out and show that you’re genuinely interested.
✨Tip Number 3
Practice makes perfect! Do mock interviews with friends or use online resources to get comfortable with common questions. The more you practice, the more confident you'll feel when it’s time to shine.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen. Plus, we love seeing candidates who take the initiative to engage directly with us.
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, compliance, or related functions, and show us how your skills align with what we're looking for.
Showcase Your Analytical Skills:Since this role requires strong analytical capabilities, don’t shy away from sharing specific examples of how you've used your judgement to assess risk or identify patterns in trading behaviour. We want to see your thought process!
Be Clear and Concise:When documenting your findings or communicating complex information, clarity is key. Use straightforward language and structure your application so it’s easy for us to follow your reasoning and conclusions.
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 shows us you're keen on joining our team!
How to prepare for a job interview at Wellington Management
✨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.
✨Demonstrate Analytical Skills
Prepare to showcase your analytical capabilities by discussing past experiences where you've identified patterns or anomalies in trading behaviour. Use specific examples to illustrate how your judgement led to successful outcomes.
✨Communicate Clearly
Practice articulating complex information in a clear and concise manner. You might be asked to explain your findings or thought processes, so being able to communicate effectively is crucial for this role.
✨Collaborate and Engage
Highlight your experience working across departments, especially with Compliance, Legal, and IT teams. Be ready to discuss how you’ve collaborated on projects or initiatives that improved surveillance processes or technology.
