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Title: Analyst - Employee Trading (3183)
Location: New York, NY
Category: Other Professional
Employment Type: Contract

The Legal and Compliance Division of this global financial institution is seeking a temporary analyst (associate level) for its employee trading group. Hourly rate based on experience. This position is expected to run for approximately four months.


Responsibilities include:

  • Reviewing employee trade requests and OBI approvals
  • Pre-clear all employee trade requests
  • Pre-clear all employee outside business activity/interest requests.
  • Oversee the new hire/transfer take on process which entails working with the new hire/transferees to obtain information regarding their personal brokerage accounts, holdings/statements, setting the employees up on EVADE, the automated personal trade reporting system, submit 407 letters to brokers, logging statements and tracking their training programs.
  • Monitor all employee trading on T+1 basis
  • Issue violation letters
  • Provide employee trading statistics for the funds' board
  • Assist with approval of political contributions
  • Respond to RFP questions

Contact Greg Breck


Yorkson Legal is a leading provider of contract and direct-hire attorneys, paralegals and other legal support staff. We are looking for top candidates with experience in Commercial Litigation, Private Equity, Corporate, Patent and Trademarks, Securities, Investment Management, ERISA, Tax, Private Client, Mass Torts, Finance and Real Estate. For more information, please visit our website at

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Yorkson Legal, 800 Second Avenue, New York, NY 10017 | P: 212-265-1400 | F: 212-265-1441 | E: