Trade Surveillance Analyst

We are seeking an experienced Trade Compliance Surveillance Analyst to support employee trading surveillance, brokerage account monitoring, compliance controls, risk reporting, and regulatory activities within a financial services environment.Key ResponsibilitiesMonitor and maintain employee brokerage accounts, including onboarding, disclosures, account setup, and electronic data feeds.Track and review statements for non-feeding and transitioning accounts.Conduct surveillance of employee personal trading, Wall-Crossed employees, and firm trading activity involving Watch and Restricted Lists.Analyze trading data and prepare Key Risk Reports and responses to Internal Audit requests.Develop, maintain, and enhance compliance surveillance reviews and trading-data processes.Manage shared compliance inboxes and provide timely policy guidance to employees, vendors, and business partners.Assess and manage Public/Private access and information-wall requirements.Support ad-hoc compliance projects, regulatory examinations, and special initiatives.Identify, assess, escalate, and report compliance and control issues appropriately.Work independently with limited supervision while serving as a subject-matter resource to senior stakeholders and team members.Required Qualifications3–5+ years of relevant experience in compliance, surveillance, or financial services.Working knowledge of insider trading laws, regulations, risks, and information-wall requirements.Experience with employee trading surveillance, brokerage account monitoring, compliance policies, and procedures within a U.S. financial institution.Strong analytical, research, organizational, and project management skills.Ability to manage multiple priorities, meet deadlines, and exercise sound independent judgment.Excellent written and verbal communication skills.Strong interpersonal skills with the ability to collaborate effectively across all organizational levels.Proficiency in Microsoft Excel, Word, and PowerPoint.Strong ability to leverage technology and data in a compliance environment.Bachelor’s degree required; advanced degree and/or FINRA licenses preferred.*** Pay range- $50.00-$56.00/hourBenefits Info:Russell Tobin offers eligible employee’s comprehensive healthcare coverage (medical, dental, and vision plans), supplemental coverage (accident insurance, critical illness insurance and hospital indemnity), 401(k)-retirement savings, life & disability insurance, an employee assistance program, legal support, auto, home insurance, pet insurance and employee discounts with preferred vendors.Applicant Privacy DisclosureWe collect personal information from applicants during the recruiting, pre-offer, and offer process.During the recruiting, pre-offer process and offer process, we may collect the following categories of personal information:Identifiers, such as name, address, and email address.Professional and Employment-Related Information, such as resume, work history, education, and qualifications.Information Voluntarily Provided by You in connection with the recruiting and pre-offer process.Sensitive Personal Information, where legally permitted and necessary, such as Social Security number and date of birth.Personal information is collected and used for the following business purposes: evaluating qualifications and eligibility for employment; communication regarding the recruitment and application process; verifying eligibility for employment; and complying with applicable legal, regulatory, and contractual obligations.Personal information is collected and used only as necessary, and we are committed to data minimization, privacy, and providing equal employment opportunities. We are an international organization, and personal information may be accessed or processed by authorized personnel or service providers located outside the United States, subject to appropriate safeguards. We restrict use and access to personal information to authorized personnel and service providers with confidentiality and data security obligations. We maintain administrative, technical, and physical safeguards designed to protect personal information from unauthorized access, use, or disclosure.For information about our privacy practices, please review our Privacy Policy at: https://prideglobal.com/privacy-policyIf you do not consent to the collection of such personal information, please advise us immediately in writing at datasecurity@prideglobal.com