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Senior Compliance Associate


Newark, NJ
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Job Details

Position Title: Senior Compliance Associate
Job Code: 456458
Job Location: New Jersey-Newark

PGIM Compliance seeks a Compliance Associate to support PGIM's Public Fixed Income unit in Newark, NJ.  Prudential Fixed Income manages approximately $637 billion in client assets, as of December 31, 2016 spread over 500 distinct portfolios and ranks as one of the largest managers of publicly traded bond assets in the United States.  Prudential Fixed Income is a division of PGIM, an SEC-registered investment adviser to institutional and retail clients through its specialized asset management units.


The Compliance Associate will be part of the team responsible for ensuring that all portfolios managed by the Fixed Income unit are in compliance with applicable regulatory and contractual requirements. The scope and responsibilities of this position will not be static.  As the business needs and compliance objectives change over time, the responsibilities of this position will evolve to meet the changing deliverables of the department.


Responsibilities may include the following:

  • Assist in monitoring automated fixed income portfolio investment guidelines on a daily basis using both a front-end and post-trade compliance system. As well as manual guidelines on a pre-defined basis. 
  • Assist in researching potential violations of client guidelines, regulatory rules, policies & procedures and reporting to management as appropriate
  • Assist in Preparing client certifications as required 
  •  Assist in responding to ad hoc requests regarding trading and fund information  
  • Work on various projects as needed  

This is a challenging, fast-paced, and deadline-driven environment. 


  • Demonstrated interpersonal skills managing relationships at all levels
  • The individual needs to take initiative to research and resolve compliance issues that arise.  
  • Experience in Financial Industry Compliance helpful but not required.
  • Knowledge of financial markets is helpful or a strong desire to learn the fixed income markets.
  • Willingness to learn the BlackRock Solutions Aladdin Compliance system or experience with a similar Compliance system helpful.
  • Strong written and verbal communication skills. 
  • Excellent time management and organizational skills, with attention to detail and demonstrated ability to meet deadlines
  • Strong information gathering skills with the ability to analyze and draw conclusions from the information gathered. 
  • Excellent skills using MS software, especially Excel. 
  • Bachelor’s degree or equivalent 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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