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Compliance Analyst, Marketing Review

Prudential


Location:
Madison, NJ
Date:
01/19/2018
2018-01-192018-02-17
Job Code:
448878
Prudential
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Job Details

Position Title: Compliance Analyst, Marketing Review
Job Code: 448878
Job Location: New Jersey-Madison
Description:

PGIM Real Estate (PGIM RE) is the real estate investment management business of Prudential Financial. PGIM RE's specialized operating units offer a broad range of investment opportunities and investment management services in the United States, Europe, Asia, and Latin America. As of September 30, 2017, PGIM RE managed over $69 billion in gross real estate assets ($50.5 billion net) on behalf of clients worldwide and ranks among the largest real estate investment managers.

The Marketing Review Compliance Analyst is responsible for managing all aspects of the marketing database (enhancements, troubleshooting, training), as well as updating marketing-related policies and procedures, and managing the relationship between Compliance, Marketing, Design and Client Services.  In this role, you will serve as a general resource for the Compliance team. 

 

Responsibilities:

  • Review and approve marketing materials

  • Review of marketing calendars

  • Administer annual PIMS training for registered representatives

  • Manage administration of regulatory filings and periodic certifications including Form PF, Form LM10, among others

  • Incorporate regulatory or corporate changes into guidance for the business unit and supporting the enforcement of all applicable regulatory policies applicable to the business unit

  • Perform forensic tests of firm’s policies and procedures

  • Support the enforcement of PGIM and Prudential’s internal policies including, for example, Personal Securities Trading Policy, Code of Ethics Policy, Gift and Entertainment/FCPA Policies, AML/OFAC Policies


  • Bachelor degree preferred.

  • Minimum two years of experience in a compliance, regulatory, audit or a similar control function

  • Experience reviewing advertising and sales materials; or relevant equivalent experience

  • Knowledge of federal and state securities regulations as they pertain to investment adviser, private placement and broker-dealer communications

  • FINRA Series 6, or 7 and 24 licenses a plus

  • High motivation and initiative with the ability to work independently

  • Excellent project and time management skills

  • Ability to assess, investigate and interpret issues

  • Knowledge of the laws involved in the regulation of securities including the Securities Act of 1933, Investment Company Act of 1940, Dodd-Frank Act of 2010

  • Knowledge of real estate operations and/or private fund compliance would be beneficial 

 


Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America. Leveraging its heritage of life insurance and asset management expertise, Prudential is focused on helping individual and institutional customers grow and protect their wealth. The company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset management, and real estate services.

We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit www.prudential.com to learn more about our values, our history and our brand.

Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law.

Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at staffingagencies@prudential.com for more information about doing business with Prudential.
Job Function: Compliance
Schedule: Full-time
Apply on the Company Site
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