Trade Surveillance Specialist

1 week ago


St Petersburg, United States TEKsystems Full time
Job Summary

We are seeking a Trade Surveillance Analyst to conduct ongoing reviews and ensure the firm and all associates are adhering to regulations and limiting firm liability. This role will include the review of employee personal trading activities as well as account holder familial/beneficiary relationships in order to detect and prevent possible employee conflicts of interest.

Key Responsibilities
  • Execute the supervision plan for transitioning financial advisors and other staff members including continuous monitoring of conflicts of interest and outside activities.
  • Proactively ensure compliance with applicable industry rules (State, FINRA, SEC) and platform policies/procedures as they apply to transitioning financial advisors and other staff.
  • Interface with sales management associates to inform them of supervisory concerns that may arise and work with them to address these concerns and resolve any conflicts that may arise.
  • Monitor and keep up to date with securities/advisory regulations and apply them accordingly.
Daily/Weekly Work Items
  1. Schedule attestations in the disclosure system (e.g., RegEd) and document on OIA Attestation Tracker.
  2. Review and disposition OIA accounts disclosed in RegEd-Post Processing Dashboard and Unassigned Tasks.
  3. Accounts that are approved will be setup for monitoring in PTA (user profile created and account added).
  4. Paper Statements that are received in the mail must be logged and then scanned into PTA according to procedures.
  5. Review violations of the Trading Rules in PTA (e.g., Restricted Securities- 24 Hour Trading Restriction Rule).
  6. Address PTA Missing Data/Error Report weekly.
  7. When provided by Manager, address closed accounts, termed accounts, and or missing transactional data (eFeeds not setup or paper statements not received).
  8. Annual Fee Process.
  9. Other procedures as needed or refined.
About TEKsystems

We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.

The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.



  • St. Petersburg, United States Plasma-Therm Full time

    Job SummaryWe are seeking a Trade Compliance Specialist to assist in the management of all aspects of exports, imports, and transfers of technology, products, and/or services. The ideal candidate will have a strong understanding of export control regulations and procedures.Key ResponsibilitiesPrepare and verify export documentation, including shipping labels...


  • St Petersburg, United States Great Day Improvements: A Family of Brands Full time

    OverviewChampion Windows is seeking a skilled Trade Show and Event Specialist to join our team. As a key member of our sales team, you will be responsible for representing our company at local trade shows, concerts, and events in your area.This is a part-time position with flexible hours available on Fridays, Saturdays, and Sundays. You will have the...


  • St Louis, Missouri, United States Caesars Entertainment Full time

    Job Title: Surveillance TechnicianCaesars Entertainment is seeking a skilled Surveillance Technician to join our team at Horseshoe St. Louis. As a key member of our maintenance team, you will be responsible for the installation, maintenance, and repair of surveillance equipment.Key Responsibilities:Install and maintain surveillance equipment to ensure...


  • St Louis, Missouri, United States Caesars Entertainment Full time

    Caesars Entertainment Horseshoe St.Job SummaryAs a Surveillance Technician at Caesars Entertainment, you will be responsible for the installation, maintenance, and repair of surveillance equipment. This includes reviewing camera repair lists and tape review logs, repairing any reported video loss or equipment malfunction, and maintaining a complete inventory...


  • St Louis, Missouri, United States Caesars Entertainment Full time

    Surveillance AgentCaesars Entertainment is seeking a skilled Surveillance Agent to join our team.Key Responsibilities:Maintain surveillance on designated areas and activitiesRecord irregular activity as requiredOperate all surveillance equipment, including DVRs, monitors, switches, computers, controllers, and cameras as assignedProvide CCTV and personal...


  • St Louis, Missouri, United States Tradesmen International, LLC Full time

    Tradesmen International is seeking a skilled Electrical Trades Specialist to join our team of qualified trade professionals. As a key member of our team, you will be responsible for performing electrical work on commercial and residential projects, including running and pulling wire, running and bending conduit, and installing lights and outlets.Requirements...

  • Trading Specialist

    1 week ago


    St. Cloud, United States Cetera Financial Group Full time

    Job Description At Cetera, we strive for continuous improvement and evolution towards excellence. To achieve this, we require the right individuals who can support and ensure our success. Our corporate team is the backbone of our operations, providing support in various areas such as legal, finance, and HR. We offer diverse business opportunities that are...


  • St Louis, Missouri, United States ProKatchers LLC Full time

    Job Title: Import Export SpecialistLocation: St. Louis, MODuration: 12 months contractJob Description:We are seeking a highly skilled Import Export Specialist to join our team at ProKatchers LLC. As an Import Export Specialist, you will be responsible for ensuring compliance with EAR and Customs regulations.Key Responsibilities:Provide compliance guidance to...


  • St Petersburg, United States Great Day Improvements: A Family of Brands Full time

    Overview Champion Windows - Trade show & Events Specialist Champion Windows is searching for Trade show & Events Specialists to attend local trade shows, concerts, and events in your area. The event team specialist will be responsible for setting up tables and booths at events in your community, scheduling appointments with guests to demo our products, and...


  • St. Louis, United States ProKatchers Full time

    Job Title: Import - Export ExpertJob Summary: We are seeking a highly skilled Import - Export Expert to join our team at ProKatchers. The successful candidate will be responsible for ensuring compliance with trade regulations, managing logistics, and coordinating with suppliers and customers.Key Responsibilities:Develop and implement trade compliance...


  • St. Louis, United States ProKatchers Full time

    Job Title: Import - Export ExpertJob Summary: We are seeking a highly skilled Import - Export Expert to join our team at ProKatchers. The successful candidate will be responsible for ensuring compliance with trade regulations, managing logistics, and coordinating with suppliers and customers.Key Responsibilities:Develop and implement trade compliance...


  • St Petersburg, United States YMCA of Greater St. Petersburg Full time

    Aquatic Safety SpecialistAt the Speer YMCA, we are seeking a highly skilled Aquatic Safety Specialist to join our team. As a key member of our aquatic staff, you will be responsible for maintaining safe swimming conditions in our pool, deck, and surrounding areas. Your primary focus will be on creating a safe and positive atmosphere that promotes member...


  • St. Louis, United States ProKatchers Full time

    Job Title: Import - Export ExpertKey Responsibilities:Ensure compliance with trade regulations and customs lawsDevelop and implement effective supply chain strategiesCollaborate with cross-functional teams to drive business growthRequirements:High School diploma or equivalentStrong knowledge of trade compliance and customs regulationsExcellent communication...


  • St Louis, Missouri, United States Tradesmen International Full time

    Tradesmen International is seeking a skilled Electrician to join our team of trade professionals for current and future projects in the St. Louis, MO area. This is a great opportunity for an experienced electrician to work alongside other skilled craftsmen who emphasize safety, productivity, and superior workmanship.Job Scope:Running and pulling wireRunning...


  • St. Petersburg, United States Orlando Health Full time

    Job SummaryThe Infection Preventionist plays a vital role in ensuring the highest standards of infection control at Orlando Health. This position is responsible for conducting surveillance, analyzing data, and implementing effective strategies to prevent hospital-acquired infections. The ideal candidate will have a strong background in clinical fields,...

  • Compliance Manager

    2 weeks ago


    St. Petersburg, United States Raymond James Financial Services Full time

    Job SummaryAs a key member of our Compliance team, you will play a critical role in ensuring the firm's policies and procedures are up-to-date and aligned with regulatory requirements. This position requires a strong understanding of securities and banking regulations, as well as excellent analytical and problem-solving skills.Key ResponsibilitiesReview and...


  • Petersburg, United States Bon Secours Mercy Health Full time

    Job SummaryWe are seeking a highly skilled and dedicated Nurse Associate Health Specialist to join our team at Bon Secours Mercy Health. As a key member of our healthcare team, you will play a vital role in ensuring the health and well-being of our associates.Key ResponsibilitiesProvide comprehensive associate health services, including pre-employment...


  • St. Petersburg, Florida, United States YMCA of Greater St. Petersburg Full time

    Job SummaryThe YMCA of Greater St. Petersburg is seeking a highly skilled and dedicated Aquatic Safety Specialist to join our team. As a key member of our pool operations team, you will be responsible for maintaining a safe and enjoyable environment for our members and guests.Key ResponsibilitiesSurveillance and Emergency Response: Maintain constant...


  • St. Petersburg, United States Johns Hopkins Medicine Full time

    Job Summary:Johns Hopkins Medicine is seeking a skilled Infection Prevention Specialist to join our team. As a key member of our infection control team, you will be responsible for maintaining current knowledge of infection prevention standards and implementing practices that promote infection prevention and control.Responsibilities:Maintain current...


  • St. Petersburg, United States Johns Hopkins Medicine Full time

    Job Title: RN Infection PreventionJoin Johns Hopkins Medicine, a world-renowned healthcare system, as a RN Infection Prevention professional. We are seeking a skilled and dedicated individual to play a critical role in maintaining a safe and healthy environment for our patients, families, and staff.Key Responsibilities:Stay Up-to-Date on Infection Prevention...