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Compliance Analyst - Trade Surveillance


Newark, NJ
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Job Details

Position Title: Compliance Analyst - Trade Surveillance
Job Code: 458458
Job Location: New Jersey-Newark

As a member of the Compliance organization focused on PGIM Fixed Income, develop and manage compliance analytics to ensure trading practices adhere to the applicable regulations, contractual agreement, and internal policies. Implements compliance oversight procedures with minimal supervision direction. Possesses sound knowledge of the principles practices concepts of the compliance discipline and applies them to their understanding of fixed income trading. Exercises judgment and discretion in the process of identifying and resolving issues. Supports the oversight of critical functions and identifying compliance issue and risks.




·         Develop and manage trade analytics to spot potential issues

·         Test and manage controls around investment processes

·         Identify and research potential issues and escalate as needed

·         Maintain thorough records of open and closed issues

·         Respond to ad hoc requests for trading information and analytics

·         Assist team members in training programs and presentations

·         Participate in team projects and initiatives



This is a challenging role for a data-driven and detail oriented analyst who can thrive in a fast-paced environment.  The individual must be inquisitive and pro-active.

·         Data visualization skills and ability to derive trends from large data sets

·         Advanced knowledge of Microsoft Excel and database query skills

·         Understanding of fixed income markets

·         Strong written and verbal communication skills

·         Minimum of two (2) years working with a fixed income investment firm is preferred

·         Experience in a trade surveillance team is preferred

·         Bachelor’s degree is preferred

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 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 for more information about doing business with Prudential.
Job Function: Compliance
Schedule: Full-time
Apply on the Company Site
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