Personal Trade Monitoring Compliance Analyst, Gurugram

PFI India Innovation Centre

Job Title

Personal Trade Monitoring Compliance Analyst

About PFI

PFI Innovation Centre India is an exciting new addition to Prudential Financial, a Fortune 500 company with a 150-year history. With over 50 million customers in 50 countries, were building a future that helps people live better lives longer. At this new innovation centre, you’ll help drive our growth and transformation strategy around the world. You’ll tackle complex challenges and grow your careers while helping millions achieve financial security.

At PFI Innovation Center 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 flexibility and support to help you thrive.

Your role and team

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.

What you’ll do

• 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.

Skills & experience you bring

• 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.

What we offer you

PFI India Innovation Center is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status, medical condition or any other characteristic protected by law.

General Reminders

If this role interests you, we encourage you to Apply Today.