Job Description: Personal Trade Monitoring Compliance Analyst
PFI Innovation Centre India is an exciting new innovation center. We're building a future that helps people live better lives longer— and we're looking for bold thinkers and team players to help us do it.
Here, you'll tackle complex challenges, collaborate with brilliant minds across the globe, and grow your career while helping millions achieve financial security.
a Purpose Driven Company – 150 Years
While the PFI brand is new to India, you'll be a part of the Prudential Financial, Inc. family. Founded in 1875 in Newark, New Jersey, we serve 50 million customers across more than 50 countries. With $1.334 trillion in assets, we're a global leader in institutional asset management. The 2nd largest life insurer in the US and the 9th largest institutional global asset manager.
At PFI Innovation Centre India, you'll find a high-performance culture that's flexible, collaborative and grounded in respect. We engage with candor, take calibrated risks, and hold ourselves accountable — always focused on delivering for our customers. It's the standard we choose every day as we grow, perform, and win as one team.
We offer valuable leadership, mentoring and learning opportunities, paired with the flexibility and support to help you thrive.
Whether you're just starting out or ready to take your next step, we'll help you grow with purpose and do the best work of your career.
We are seeking a detail-oriented and analytical professional to join the team as a
Personal Trade Monitoring Compliance Analyst. This role is part of the PST Operations team and supports the company's Investment Advisers and Broker Dealers in meeting regulatory obligations. The position also contributes to the implementation of the company's Global Insider Trading Policy for a publicly traded company.
The successful candidate will possess strong knowledge of financial instruments and markets, a solid understanding of compliance risks and controls, and strong technical skills. Responsibilities include maintaining accurate employee and account records, processing key monitoring reports, and supporting compliance teams in identifying and escalating potential issues.
Key Responsibilities
- Maintain accurate employee monitoring classifications to ensure proper oversight.
- Administer required compliance certifications to employees.
- Communicate personal trading and disclosure requirements to monitored employees.
- Manage the brokerage account oversight process, including:
- Reviewing and approving account documentation
- Maintaining accurate account records on electronic data feeds
- Obtaining necessary employee consents
- Monitoring data feed integrity
- Generate, review, and distribute monitoring reports for Compliance review.
- Review personal trading activity and escalate potential Code of Ethics violations.
- Provide guidance to employees using the STAR system for required obligations.
- Serve as the first point of contact for inquiries received through the team mailbox.
Qualifications
- Bachelor's degree or equivalent experience preferred
- Strong attention to detail and analytical mindset
- Familiarity with financial instruments and markets
- Excellent written and verbal communication skills
- Advanced computer skills, particularly in Excel
- Ability to work independently and collaboratively in a fast-paced environment
- Strong organizational skills with the ability to manage multiple priorities
