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Compliance Analyst

Prudential


Location:
Newark, NJ
Date:
11/17/2017
2017-11-172017-12-16
Job Code:
433240
Prudential
Apply on the Company Site
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Job Details

Position Title: Compliance Analyst
Job Code: 433240
Job Location: New Jersey-Newark
Description:

PGIM Fixed Income Compliance seeks a Compliance Analyst 10 to support PGIM's public fixed income business in Newark, NJ.  PGIM Fixed Income is a business of PGIM, Inc., an SEC-registered investment adviser and a Prudential Financial, Inc. company.

The position will report to the Compliance Manager and will provide direct, day-to-day compliance support to PGIM Fixed Income's Client Advisory Group’s business initiatives. 

Responsibilities include the following:

  • A significant portion of this position's duties will consist of performing compliance review of marketing material and literature (including GIPS compliant presentations and supplemental presentations, advertisements (including white papers, newsletters, etc.), RFPs, and client DDQs  
  • Verify that client advisory activities are carried out in accordance with licensing requirements of applicable US and non-US jurisdictions 
  • Field day-to-day compliance questions, related in particular to gifts & entertainment, political law, anti-bribery, anti-money laundering, personal securities transactions, broker-dealer licensing and related procedures and other investment advisor-related policies and procedures
  • Assist with ad hoc compliance projects (e.g., client reports, compliance attestations/certifications)
  • Provide in-person training on key policies and new regulatory requirements
  • Create new and maintain existing operating procedures
  • Assist with document production in connection with regulatory exams, inquiries and audits

This is a challenging, fast-paced and deadline-driven position, requiring excellent communication, interpersonal and time management skills.  The successful candidate must be a motivated professional with a minimum of 2-3 years of regulatory compliance, audit or other relevant experience in an investment advisory firm with:

  • A minimum of 3 years’ investment advisory compliance experience
  • Familiarity with applicable SEC and FINRA rules; strong knowledge of the financial markets or a compliance background is highly beneficial
  • Marketing material review experience required
  • Must be able to work within tight deadlines
  • Excellent oral and written communication skills; possess ability to communicate with all levels of the organization
  • Basic knowledge of fixed income products
  • Candidates must possess a high level of integrity and strong work ethic
  • Bachelor’s degree or equivalent experience

 

 


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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