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Trade Surveillance Jobs (NOW HIRING)

Wellington Management

Trade Surveillance Analyst

Needham, MA · On-site

$171K/yr

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 ...

Wellington Management

Trade Surveillance Analyst

Boston, MA · On-site

$170K/yr

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 ...

Wellington Management

Trade Surveillance Analyst

Needham, MA · On-site

$171K/yr

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 ...

Wellington Management

Trade Surveillance Analyst

Boston, MA · On-site

$170K/yr

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 ...

Wellington Management

Trade Surveillance Analyst

Boston, MA · On-site

$170K/yr

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 ...

DriveWealth

Trade Surveillance Analyst

New York, NY · On-site

$171K/yr

At its core, this is a trade surveillance role. You will monitor trading activity across equities, options, and ETFs for potential violations of securities laws and firm policy - reviewing alerts ...

Jane Street

Surveillance Manager

New York, NY · On-site

In this role, you'll oversee the trade surveillance program and manage the team that keeps these workflows running smoothly. You'll partner closely with seasoned colleagues across Legal and ...

Jane Street

Surveillance Manager

New York, NY

In this role, you'll oversee the trade surveillance program and manage the team that keeps these workflows running smoothly. You'll partner closely with seasoned colleagues across Legal and ...

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Trade Surveillance information

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How much do trade surveillance jobs pay per hour?

As of Jun 13, 2026, the average hourly pay for trade surveillance in the United States is $23.47, according to ZipRecruiter salary data. Most workers in this role earn between $20.67 and $25.48 per hour, depending on experience, location, and employer.

What are some typical challenges faced by professionals working in Trade Surveillance roles?

Professionals in Trade Surveillance often face the challenge of monitoring high volumes of transactions in real-time to detect unusual or potentially manipulative trading behaviors. Keeping up with evolving regulatory requirements and adapting to new financial products or market structures is a constant need in the role. Additionally, interpreting complex data and distinguishing genuine violations from false positives can require a keen analytical eye and excellent judgment. Nonetheless, working in this field offers the opportunity to play a critical role in safeguarding market integrity and to develop a deep understanding of compliance and market operations.

What do you need to be a trade compliance analyst?

A trade compliance analyst typically needs a bachelor's degree in finance, law, or a related field, along with knowledge of trade regulations and customs procedures. Strong analytical skills, attention to detail, and proficiency with compliance software or trade management tools are also important. Certifications such as the Certified Trade Compliance Specialist (CTCS) can enhance qualifications.

What is an example of trade surveillance?

Trade surveillance involves monitoring trading activity to detect potential market abuse, such as insider trading or price manipulation. For example, analyzing trading patterns to identify unusual spikes or coordinated trades helps ensure compliance with regulations and maintain market integrity.

What is a Trade Surveillance job?

A Trade Surveillance job involves monitoring and analyzing trading activities to detect and prevent market abuse, fraud, and regulatory violations. Professionals in this role utilize surveillance tools and data analytics to identify suspicious trading patterns, such as insider trading or market manipulation. They work closely with compliance, risk management, and regulatory teams to ensure adherence to financial regulations. Strong analytical skills, attention to detail, and knowledge of trading practices are essential for success in this field.

What does trade surveillance mean?

Trade surveillance is a key responsibility in trading and financial firms, involving monitoring trading activities to detect and prevent illegal or manipulative practices. It typically requires knowledge of trading systems, market regulations, and the use of specialized surveillance tools to ensure compliance and identify suspicious behavior.

What are the key skills and qualifications needed to thrive in the Trade Surveillance position, and why are they important?

To excel in Trade Surveillance, you need strong analytical abilities, attention to detail, and a solid understanding of financial markets or regulatory compliance, typically supported by a bachelor's degree in finance, economics, or a related field. Familiarity with surveillance platforms (such as Actimize, SMARTS, or NICE), data analytics tools, and relevant financial certifications like CAMS or Series 7 is highly advantageous. Effective communication, critical thinking, and the ability to work under pressure help set top performers apart in this high-stakes environment. These skills ensure timely detection of suspicious trading activities, maintaining market integrity and regulatory compliance.

What is a trade surveillance job?

A trade surveillance job involves monitoring financial transactions and trading activities to detect and prevent illegal or suspicious behavior, such as market manipulation or insider trading. Professionals in this role typically use specialized software and data analysis skills to ensure compliance with regulations and maintain market integrity.
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What are the most commonly searched types of Trade Surveillance jobs? The most popular types of Trade Surveillance jobs are:
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Trade Surveillance jobs near you
Infographic showing various Trade Surveillance job openings in the United States as of June 2026, with employment types broken down into 14% Internship, 43% Full Time, and 43% Contract. Highlights an 86% In-person, and 14% Remote job distribution, with an average salary of $48,820 per year, or $23.5 per hour.
Trade Surveillance & Compliance Officer

Trade Surveillance & Compliance Officer

RQD * Clearing LLC

New York, NY • On-site

$125K - $175K/yr

Full-time

Posted 4 days ago

Job description

Trade Surveillance and Compliance Officer
$125,000-$175,000
Location: New York, NY (Hybrid)
Company Overview
RQD is a modern correspondent clearing firm that offers clearing, custody, and execution solutions designed to meet the needs of today's dynamic market participants. Built entirely on cloud-native, real-time technology, RQD can quickly and seamlessly enhance its platform, adapt to regulatory changes, and offer a more efficient implementation that scales as clients grow. In addition to portfolio margin, RQD supports U.S. equities, options, ETFs, and other securities, catering to broker-dealers and FinTechs, including RIAs, that service retail, institutional, and active traders, foreign financial institutions, and proprietary trading firms.
This is an opportunity to work for a fintech start-up and to be an integral part of growing a broker-dealer from the ground up. As a small, hardworking team, we pride ourselves on our entrepreneurial culture and cross team collaboration. We recently raised our Series A funding and are in a very exciting stage of growth.
Position Overview
As we continue to expand our reach, we are seeking a highly skilled Trade Surveillance & Compliance Officer to join our Compliance Team to assist in the expansion and enhancement of our Trade Surveillance and Market Abuse Compliance Program. In this position, you will be responsible for reviewing, investigating and dispositioning alerts generated through RQD's automated system as well as designing and building out reports to ensure adherence to regulatory requirements and guidelines. This is a prime opportunity for someone with expertise in surveillance to also broaden their skillset. This role requires previous trade surveillance experience.
Duties/Responsibilities
  • Assist in directing the firm's Trade Surveillance Compliance Program
  • Review and evaluate the firm's Trade Surveillance Policies, Procedures and Parameters and update as needed
  • Draft and update the Firm's WSP's, AML program or other Firm documents relating to Trade Surveillance as needed
  • Conduct comprehensive internal compliance reviews of trade surveillance alerts on a daily basis
  • Present cases to Management for further review, investigation, analysis and determination if a regulatory filing is warranted
  • Draft Suspicious Activity reports if required
  • Communicate results and issues with Management
  • Actively monitor regulatory developments
  • Research and analyze Trade Surveillance exchange rules and interpretations
  • Assist in responding to regulatory inquiries and audits as well as external communications with SRO's, regulatory bodies and auditors

Qualifications
  • 3-5 years experience working in trade surveillance compliance at a broker dealer, clearing firm, regulator or firm subject to the rules of the SEC and FINRA
  • Experience with trade surveillance typologies as well as with automated trade surveillance tools (Equity + Options)
  • Experience with Trillium Surveyor is a plus
  • Experience with AML and SAR filings is a plus
  • Proactive, able to work well under pressure
  • Effective communicator -- able to interact well with different teams and personalities
  • Exceptional writing skills
  • Series 7 and 63 (within the first 6 months of joining)

Salary Range
$125,000-$175,000 USD
RQD* Clearing is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.

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