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Senior Associate, Compliance


Newark, NJ
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Job Details

Position Title: Senior Associate, Compliance
Job Code: 435358
Job Location: New Jersey-Newark

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


Prudential Trust Company (“Pru Trust”), a part of the Prudential Financial family, is a state chartered trust company regulated by the Pennsylvania Department of Banking and Securities. The company provides collective investment trust funds as well as directed trust and custodial services to institutional and retail clients. As of June 30, 2017, Pru Trust had over $55 billion in assets under management.


PGIM, Inc. (“PGIM”), also a part of the Prudential Financial family, is a registered investment adviser with more than $1 trillion in assets under management as of June 30, 2017.


PGIM Compliance has a Compliance Associate level position available, located in Newark, N.J.  The Associate will support both Pru Trust and PGIM regarding the certain regulatory, contractual, and compliance requirements associated with a state chartered trust company and registered investment advisor. The position will also be a key resource with respect to ongoing project work designed to support and enhance the Pru Trust and PGIM compliance programs.


Specific on-going responsibilities for this position will include:


·         facilitating the election and removal of Pru Trust Sales Officers

·         conducting various AML, CIP and OFAC related reviews for Pru Trust

·         supporting Pru Trust audit and examination document requests

·         assisting in the annual review of Pru Trust compliance policies and procedures

·         conducting personal trade monitoring for certain segments of the PGIM population

·         assisting with various gifts and entertainment related reviews

·         coordinating certain regulatory filings

·         researching potential violations of policies and procedures

·         responding to ad hoc queries


Qualified candidates should have at least one of the following qualifications:

  • Some demonstrable work experience in a compliance role
  • Asset management industry knowledge
  • Strong interpersonal skills to interface with various business unit, legal and compliance contacts
  • Strong attention to detail
  • Excellent written and oral skills
  •  Ability to collaborate
  • Strong organizational skills and ability to meet tight deadlines 
  • Strong proficiency with MS software, especially Excel
  • Able to perform as a team player and independently to help accomplish work objectives
  • A college degree or equivalent is strongly 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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