Trade Surveillance & Compliance Analyst
$80k - $150kWellington Management
Wellington Management is seeking a Trade Surveillance Analyst to support the firm’s global Trade and eComm Surveillance Program. This role involves identifying and assessing potential violations through the review of trading activity and collaborating with various departments. The ideal candidate will have 2–6 years of relevant experience in trade surveillance or compliance. The position comes with a competitive salary range of USD 80,000 – 150,000, depending on experience. Employees enjoy a flexible work environment with four days in the office and one day remote each week. #J-18808-Ljbffr Wellington Management
- Sonara Inc. is seeking a Trade Surveillance Analyst in Boston, MA to support the global Trade Surveillance Program. This role involves analyzing... ..., collaborating with various stakeholders, and ensuring compliance with regulations. The ideal candidate should have 2-6 years...Surveillance
$80k - $150k
Wellington Management is seeking a Trade Surveillance Analyst to support its global Trade and eComm Surveillance Program. The incumbent will analyze trading activity to identify potential regulatory violations and collaborate with various stakeholders to safeguard the...Surveillance$80k - $150k
Wellington Management Company is seeking a Trade Surveillance Analyst to support its global surveillance program. The role involves analyzing trading... ...to identify potential violations, working closely with Compliance, Legal, and IT teams. The ideal candidate will have 2-6...Surveillance- CFA Institute is looking for a Trade Surveillance Analyst to support our global Trade and eComm Surveillance Program in Boston, Massachusetts.... ...findings, collaborating with various stakeholders, and ensuring compliance with relevant regulations. A strong focus on integrity,...SurveillanceFlexible hours
- A global asset management firm based in Boston is seeking a Portfolio Compliance professional to support regulatory oversight and trade compliance activities. The successful candidate will monitor trade activity, assist with compliance programs, and collaborate with multiple...Suggested
- Jobtailor is seeking a seasoned compliance and trade-review professional with deep brokerage industry experience to ensure adherence to FINRA/SEC rules for client accounts and to perform critical primary trade reviews, including annuity purchases. The role involves coordinating...
$80k - $150k
...perspectives with those of our clients. About The Role The Trade Surveillance Analyst is responsible for supporting the firm’s global Trade and... ...behavior in context. The Analyst partners closely with Compliance, Legal, Technology, and investment stakeholders to help safeguard...SurveillanceRemote workFlexible hours1 day per week$150k - $200k
...Franklin Templeton Compliance Role At Franklin Templeton, we believe success is built... ...funds, private debt funds, and exchange-traded funds (ETFs), ensuring adherence to applicable... ...periodic compliance testing and surveillance activities related to private fund operations...SurveillanceLocal area3 days per week$100k - $175k
The Compliance Specialist will be involved in various aspects of an ever‑changing regulatory landscape within the... ...and memos Assist with annual compliance testing and surveillances, including the use of the Firm’s trade surveillance tool Research and respond to internal...SurveillanceWork at office$97.75k - $115k
...A leading asset management firm is seeking a Compliance Analyst to support portfolio compliance activities. Responsibilities include daily monitoring of trades, maintaining compliance programs, and preparing reports. Applicants should have 2-4 years of experience in compliance...Flexible hours- ...HIGH-LEVEL OVERVIEW The Global Trade Compliance Coordinator is responsible for managing daily import and export transactions and supporting the trade compliance team, while ensuring compliance with import and export regulations including CBP, EAR, and OFAC....Work at officeRemote work
- Trade Compliance Recruiting Solutions is looking for a Global Trade Compliance Coordinator based in Boston, MA. This hybrid role involves managing import and export transactions, ensuring adherence to compliance regulations including CBP, EAR, and OFAC. The ideal candidate...Remote jobWork at office
- Victory Capital Management is hiring for a Portfolio Compliance Professional in Boston, Massachusetts. In this role, you will support trade compliance and assist the compliance team with regulatory oversight. Responsibilities include monitoring pre- and post-trade activity...
$56 per hour
Lead Compliance Systems/Data Analyst This role is remote and long-term. Overview We are seeking a Lead Compliance Systems/Data Analyst to support... ...timely data is available to support compliance rules, surveillance processes, and regulatory requirements. The successful...SurveillanceRemote job$170k - $200k
Deputy Chief Compliance Officer - Investment Advisor Locations BOSTON, MA General Summary... ...activities. Implement and oversee pre- and post-trade compliance monitoring for portfolios,... .... Lead periodic compliance testing, surveillance, and monitoring activities; elevate...SurveillanceLocal areaFlexible hours- ...Interim Chief Regulatory & Chief Compliance Officer (CCO) About the Company A new CFTC-regulated exchange offering a novel type... ...This role also involves leading and administering the Market Surveillance and Compliance Department. The ideal candidate should have at...SurveillancePermanent employmentTemporary workInterim roleRemote work
- ...Senior Associate to join its Boston office. A strong compliance culture is central to the firm’s values. The Compliance Department... ...; conflict and risk identification; monitoring and surveillance; personal trading; compliance policies and procedures; and continuing...SurveillanceWork at office
- ...Compliance Analyst Responsibilities Compliance Program Support: Support the development, implementation, ongoing enhancement and monitoring... ...including periodic certifications and monitoring of personal trading, gifts and entertainment, outside business activity,...Flexible hours
- ...A leading real estate investment trust (REIT) is seeking a Compliance Analyst to join its growing compliance team. This position offers the... ...Assist with employee compliance reporting, including personal trading, gifts and entertainment, outside business activities,...
$60k - $70k
The Assistant Regulatory Analyst supports Bob's compliance with product safety, social responsibility, and sustainability laws and regulations.... ...factory social audit programs. Contribute to continuous surveillance of regulatory environments. Communication &...SurveillanceInternshipWork at officeLocal areaShift work2 days per week$30 - $48 per hour
...adjustments, inspections, small repairs, surveillance). In charge of storeroom inventory... ...required. Review work order feedback from the trades regarding updates to task lists and... ...coming from production departments. Ensure compliance of proper safety, quality and...SurveillanceShift work$44.8k
...audit findings, prepares reports, and collaborates with management to develop risk mitigation strategies or suggestions. Ensures compliance with IS audit standards, guidelines, and best practices. Minimum Requirements ~ Bachelor's degree in related field. ~3-5...Minimum wageFull timeContract workTemporary workWork experience placement- TD Bank Group (TD) is seeking a Principal Review Analyst for regulatory oversight with TD Private Client Wealth. This role focuses on reviewing brokerage and advisory business to ensure compliance with FINRA and SEC regulations. Ideal candidates will have a college degree...
- Compliance Analyst | Boston, MA We are partnering with a highly respected alternative investment and real assets investment management firm... ...activities Help administer compliance systems covering personal trading, gifts & entertainment, political contributions, and outside...
$17.5 - $18.9 per hour
...management and/or Asset Protection Ensures compliance with housekeeping standards and programs... ...copiers, fax machines, computers, CCTV surveillance system, key cutter, panel saw, paint... ...programs, including tuition assistance and trade skills scholarships Business Travel...SurveillanceHourly payFull timePart timeSeasonal workLocal areaFlexible hoursWeekend work$72.7k - $111.4k
...Compliance Engineer SharkNinja is a global product design and technology company, with... ...special projects, including post-market surveillance and complaint handling processes under 2... ...available information, including benefit-risk trade-offs required under ISO 14971....SurveillanceTemporary workFlexible hoursShift work$21.5 per hour
...theft and fraud and supporting safety and environmental program compliance in their assigned store/multiple stores. They utilize tools... ...store's physical security, auditing the Electronic Article Surveillance and driving a shrink elimination culture in the store. Other...SurveillanceLocal area- ...minutes! Your Responsibilities: ~ Deliver exceptional customer service to clients and visitors. ~ Monitor CCTV surveillance systems and complete accurate daily activity reports. ~ Observe, survey, and report on activities at your assigned post...SurveillanceWeekly payFlexible hours
$168k - $252k
...guidelines. Understanding of requirements and processes to maintain a product on the market, including labeling, reporting, and surveillance. Comprehensive understanding of drug development concepts (clinical trial design, statistics, clinical pharmacology). Ability to...SurveillanceRemote work2 days per week$101.4k - $108.1k
...Perform all duties and responsibilities in compliance with standard operating procedures and... ...security access cards. Monitor security surveillance system and equipment as needed.... ...Education: Bachelor's degree or equivalent trade school certificate required. Current Universal...SurveillanceTemporary workLocal areaRelocation packageFlexible hours
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