Sign In
 [New User? Sign Up]
Mobile Version

Compliance Analyst

Prudential


Location:
Newark, NJ
Date:
02/23/2018
2018-02-232018-03-24
Job Code:
451318
Prudential
Apply on the Company Site
  •  
  • Save Ad
  • Email Friend
  • Print
  • Research Salary

Job Details

Position Title: Compliance Analyst
Job Code: 451318
Job Location: New Jersey-Newark
Description:

Prudential's Compliance Program provides an independent system of monitoring, testing, oversight, and inspections, designed to prevent and detect violations of laws, rules, regulations, and/or policies.

 

The Compliance Analyst will primarily support the employee trade monitoring functions within Corporate Centers while leveraging enhanced systems access as a member of the Securities Monitoring Unit. You will deal with highly sensitive information for employees throughout the Company, including the most senior Officers and the Board of Directors. Ideally, you will have a high level of knowledge and experience with the regulatory and compliance issues surrounding personal and portfolio trading activity and will be expected to handle issues professionally using appropriate discretion and judgment. Additionally, the Compliance Analyst will provide Compliance support for the Corporate Centers business areas with Anti-bribery/Anti-corruption, Political Law, Gifts and Entertainment, and Conflicts of Interest initiatives.

Specifically, this individual will be responsible for the following:

Personal Trading Program Support:

  • Apply all required monitoring classifications using various applications and tools such as HR reports.
  • Review employee disclosures and attestations for conflicts of interest and escalate appropriately.

  • Document the outcomes of employee interviews with respect to personal trading violations and perform additional due diligence in conjunction with the various business units around any restricted list matches.

  • Carry out additional analyses of trading activity using forensics tools to identify trends among closely related employees, as well as trends in timing regarding market activity and corporate actions

  • Coordinate appropriate business approvals for account exceptions and third-party manager attestations.

  • Provide ongoing guidance and support to employees with questions regarding personal trading policies or those who need technical assistance.

  • Review, approve or deny employee trade preclearance requests.

  • Additional responsibilities and projects are possible, as deemed appropriate by management, including but not limited to violation reporting to the Personal Securities Trading and Mutual Fund Code of Ethics Committee

Anti-Bribery/Anti-Corruption Support: 

  • Perform compliance pre-clearance review, risk analysis and processing of expenditure requests for non-US government officials or entities for employees of the Corporate Centers.
  • Coordinate with Corporate Centers to periodically review and identify employees who would require Anti-Bribery/Anti-Corruption training, review training reports generated by Global Compliance Education to monitor training completion.

Conflicts of Interest Disclosure Support:

  • Ensures that individuals within area(s) of responsibility complete conflicts of interest (COI) disclosure forms and obtain the appropriate review and approval consistent with the materiality of the activity disclosed.

Political Law and Gifts and Entertainment Support: 

  • Reviews quarterly PATS population reports and provides Political Law Compliance with classification updates specific to CIO and related businesses, also provides updates on a periodic basis as needed.
  • Provides Political Law support to employees within the business with respect to PATS and the submissions of political contributions, and escalates scenarios to Political Law Compliance when necessary

  • Provides G&E and GETS support for the business (i.e. aids employees in submitting GETS forms, editing GETS forms, updating the business rules and thresholds in GETS), and escalates any issues to the G&E compliance team

  • Handles the GETS “entity other” process (i.e. provides us with a list of entity names currently not within the system for the G&E compliance team to input)

  • Reviews monthly G&E reports sent to the business unit compliance teams, and takes action as needed


  • Bachelor degree preferred

  • Minimum one year experience in a compliance or related function/position in a regulated industry

  • Prefer a general understanding of industry rules and regulations or the Company’s policies and procedures relating to insider trading and personal securities trading.

  • Exceptional ability to issue-spot, recognize trends and conduct detailed investigative analysis.

  • Strong interpersonal skills, ability to explain complex policies and procedures to employees at all levels.  Candidate should be discreet, professional and be able to use sound judgment. 

  • Clear and concise oral and written communication skills.

  • The candidate must be able to work on several high priority assignments simultaneously.

  • Ability to effectively transition between individual contribution and team efforts as needed.

  • Superior time management skills and attention to detail.

  • Advanced proficiency in Microsoft applications with a strong emphasis on Microsoft Excel and PowerPoint.

  • Moderate to advanced proficiency in data mining and data modeling to draw insights and make connections using structured and unstructured data is required.

 

Alternative Military Requirements:

  • Three or more years of experience in the intelligence or criminal justice fields within the military.

  • Work within the fields of anti-fraud a plus. 

  • Strong ability to issue-spot and recognize trends. 

  • Strong interpersonal skills, ability to explain complex policies and procedures to employees at all levels.  Candidate should be discreet, professional and be able to use sound judgment.  

  • Clear and concise oral and written communication skills.

  • Highly motivated and have excellent time management and organizational skills.  The candidate must be able to work on several high priority assignments simultaneously. 

  • Ability to effectively transition between individual contribution and team efforts as needed. 

  • Superior time management skills and attention to detail. 

  • Advanced proficiency in Microsoft applications with a strong emphasis on Microsoft Excel and PowerPoint. 

  • Moderate to advanced proficiency in data mining and data modeling to draw insights and make connections using structured and unstructured data is required.

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
Powered ByLogo

Featured Jobs[ View All ]

Featured Employers [ View All ]