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Compliance Analyst

Prudential


Location:
Newark, NJ
Date:
08/17/2017
2017-08-172017-09-15
Job Code:
418598
Prudential
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Job Details

Position Title: Compliance Analyst
Job Code: 418598
Job Location: New Jersey-Newark
Description:

Corporate Center Compliance (CCC) is seeking a Compliance Associate to assist in the support of the compliance controls and oversight program as they apply to Prudential’s Financial Management corporate investment units. Specifically, the successful candidate will support the Alternative Assets Group (AAG) within the Chief Investment Office (CIO) and Impact Investments focusing on investment activities within the two areas.

 

The successful candidate will work closely with the businesses regarding the regulatory and compliance requirements associated with their investment activities.  The candidate must be able to work successfully with compliance and legal personnel, to identify compliance issues, assess risks and recommend solutions regarding regulatory or compliance issues.

 

The position is located in Newark, NJ.  

 

Specific responsibilities include:

  • Assist in compliance due diligence reviews of potential alternative (private equity, hedge funds and real estate funds) investments, which includes:
    • Completing due diligence checklists
    • Reviewing and escalating issues identified in investment documents (e.g., Form ADV’s, Agreements, Fund Due Diligence Questionnaires, etc.)
    • Participating in and documenting calls with target firm compliance professionals
    • Checking firm names and key persons against the Office of Foreign Assets Control (OFAC) list
    • Confirming domicile of target firms/investments to assess potential bribery and corruption risk
  • Perform periodic reviews of investment holdings for purposes of Rule 163(b) (Bank Holdings).
  • Test the business’ policies and procedures relevant to governance and supervision.
  • Collaborate with CCC team members to coordinate and track responses to regulatory inquiries and/or document requests.
  • Assist in maintaining Compliance Risk Assessments for the Alternative Assets Group. 
  • Review and assist in the implementation of compliance policies, Standard Operating Procedures, supervisory procedures and other required governance documentation for CCC relevant to its support of the CIO business.
  • Compliance support for the proprietary hedge fund e.g. quarterly reporting, new hire notifications to the adviser, etc.
  • Maintain communication log and supporting documentation for internal and external communications generated by CIO.
  • Maintain the LCBE Portal Page for the Compliance Documentation Project (CDP) Community Page that includes Compliance & Ethics Archer and SOPs tools, resources and Champions Contacts.

 

  • General financial services knowledge in Investments, Compliance, Risk, Internal Audit is preferred
  • General knowledge of SEC regulations a plus
  • Excellent written, verbal and documentation skills
  • Strong project management skills with attention to detail
  • Ability to work both independently and as part of a team
  • Ability to drive to achieve results and flexibility to adapt to changing priorities
  • Ability to multi-task across several project assignments, while producing quality results
  • Proficiency using MS software, especially Excel
  • Strong research and analytical skills
  • Accustomed with time management and organizational skills
  • Strong interpersonal skills
  • A college degree is preferred, but not 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
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