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Compliance Analyst

Prudential


Location:
Newark, NJ
Date:
02/16/2018
2018-02-162018-03-17
Job Code:
453858
Prudential
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Job Details

Position Title: Compliance Analyst
Job Code: 453858
Job Location: New Jersey-Newark
Description:

Prudential Financial companies serve individual and institutional customers worldwide and include The Prudential Insurance Company of America, one of the largest life insurance companies in the United States. These companies offer a variety of products and services, including life insurance, mutual funds, annuities, pension and retirement-related services and administration, asset management, banking and trust services, real estate brokerage franchises, and relocation services. For more information, visit www.prudential.com.

 

PGIM, Inc. (“PGIM”), a part of the Prudential Financial family, is a registered investment adviser with over 1 trillion in assets under management as of September   PGIM Compliance currently has an Associate Manager level position available, supporting PGIM in Newark, New Jersey.   The position reports to the Director of Compliance for PGIM Global Partners (“PGP”).  The successful candidate will provide day-to-day compliance support to PGP, the international investment unit of PGIM, Prudential International Investment Advisors, LLC. (“PIIA”), a SEC registered investment adviser housed within PGP, as well as leading other critical compliance functions. 

Skills critical to this position include excellent project management and research skills, ability to successfully partner with associates located both in the U.S. and international locations, and adeptness at responding to evolving business needs. 

A demonstrated ability to work across and within cultural-sensitivities while understanding and recognizing business objectives is an important component of this position.

Primary Duties and Responsibilities:

Support core compliance functions for PGP and PGP’s US registered investment advisory business, PIIA, including the review of Marketing, Social Media, Gifts and Entertainment, Anti-bribery/Anti-corruption, and related regulatory reporting functions.

Provide comprehensive support to PGP compliance team in the supervision of PGP’s compliance program including maintaining and updating compliance policies and procedures and on-going monitoring compliance functions. 

Compile and analyze various PGP compliance-related reports to detect emerging compliance issues.  Follow-up related issues with local operations and track status of resolution

Manage PGP’s key Compliance monitoring and oversights reports and pro-actively escalate high-risk issues to the unit’s senior leadership.

Assist PGP Director in oversight of issues surfaced during internal and external audits, regulatory examinations, 206(4)-7 testing and other control activities.

Provide project management support related to implementation of various department-wide compliance projects and initiatives (e.g., annual compliance risk assessments, testing, technology initiatives, anti-money laundering and anti-bribery/ anti-corruption initiatives). 

Conduct reviews and testing of control processes to verify policies and procedures are working as intended

Potential to collaborate on other asset management wide strategic initiatives ability to expand role to support other asset management strategic initiatives

 


 Bachelor's degree is preferred

Two or more year’s work experience in a compliance, regulatory, audit, operations or similar control function

Investment Advisor/Asset Management industry knowledge a plus

Strong interpersonal and relationship building skills, particularly as it relates to interfacing with business unit contacts and collaborating with non-US based compliance team members

 Robust research, analytical and practical problem-solving skills

Excellent oral and written communication skills. 

 Strong organizational and project management skills, ability to manage daily transactional inquiries along with ongoing projects. 

Must be able to work independently and meet deadlines. 

 

 


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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