Corporate - Legal and Compliance
Job Classification
At Prudential, we believe talent is key to achieving our vision. When you join Prudential, you'll unlock a motivating and impactful career all while growing your skills and advancing your profession at one of the world's leading financial services institutions!
PGIM, Inc. (PGIM) is currently seeking a Compliance Analyst to support PGIMs Private Alternatives businesses in Newark, New Jersey. PGIM is the asset management business of Prudential, Inc. and manages approximately $1.2 trillion in client assets, as of September 30, 2023, across multiple strategies. These businesses include PGIM Real Estate, PGIM Private Capital, and Montana Capital Partners. The ideal person will be knowledgeable in alternative asset classes, private funds, and investment advisory issues to assist its Chief Compliance Officer in overseeing a full range of compliance matters, which include
- Promoting, protecting, and setting the tone to reflect the firm's reputation for ethics, integrity, and honesty in all dealings.
- Work with all levels of management to ensure appropriate regulatory processes and controls are established and documented.
- Assist regulatory, auditors and business unit management with regulatory issues, exams, and inquiries.
The current employee work arrangement for this position is Hybrid and requires your on-site presence on a reoccurring basis as determined by your business. Your manager will provide additional details relative to the specific number of days you are expected to be on-site.
What you can expect
- Provide guidance on investment adviser requirements to PGIM Private Alternatives employees.
- Complete daily elements of the compliance program.
- Review outside business activities and private placements.
- Review and develop policies and procedures commensurate with expectations of the SEC, FINRA, and state/local regulators.
- Conduct ongoing monitoring and testing of political contributions, G&E, personal trading, marketing material, information barriers and social media.
- Review, approval and reporting of gifts and entertainment items including FCPA matters.
- Monitor, research and resolve personal and firm trade issues.
- Train, monitor and document elements critical to existing information barriers.
- Create and deliver customized compliance training.
- Support of global associates throughout the United States, Mexico, Asia and Europe.
What you'll need
- Minimum 3 years of
- compliance/risk/audit
- Bachelors degree.
- Excellent judgment and ability to handle highly confidential business matters in a fair and consistent manner.
- Strong relationship management skills, and the ability to communicate effectively with senior management.
- Excellent analytical skills including ability to learn new legal frameworks quickly and make decisions and respond to issues promptly under pressure.
- Demonstrated experience managing multiple priorities and balancing competing priorities.
- Strong process improvement experience and demonstrated delivery.
It'd be a plus if you had
- Advanced degree in finance, compliance, or law.
- Project management experience.
Prudential welcomes all applicants, even if you dont meet every requirement. If your skills align with the role, we encourage you to apply.
At Prudential, you can
Take charge of your career. People in this role have gone on to be promoted within the compliance department. We equip and empower our employees to expand their skills and experience by using powerful learning, gigs, and job opportunities. We offer a suite of services including 11 Career advice, on demand resources and networking to propel your career forward.
We're a global organization, full of outstandingly dedicated people who aren't afraid to think differently, challenge the status quo and take sensible risks along the way. You will enjoy pushing boundaries as we build innovative technology that helps clients, customers and employees live their best lives. You will have access to leadership and learning opportunities and the resources needed to take your career in any direction. We will help you do your best work, offering flexibility, while delivering on our Purpose.
What we offer you
- Market competitive base salaries, with a yearly bonus potential at every level
- Medical, dental, vision, life insurance, disability insurance, Paid Time Off (PTO), and leave of absences, such as parental and military leave
- Retirement plans
- 401(k) plan with company match (up to 4%)
- Company-funded pension plan
- to help you achieve your wellbeing goals, including up to $1,600 a year for reimbursement of items purchased to support personal wellbeing needs
- Wellness Programs
- to help support topics such as parenting, housing, senior care, finances, pets, legal matters, education, emotional and mental health, and career development.
- Work/Life Resources
- to help finance traditional college enrollment toward obtaining an approved degree, many accredited certificate programs, and industry designations.
- Tuition Assistance
- Shares can be purchased at 85% of the lower of two prices (Beginning or End of the purchase period), after one year of service.
- Employee Stock Purchase Plan
To find out more about our Total Reward package, see our
Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom.
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 companys well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudentials 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
Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status , medical condition or any other characteristic protected by law.
The Prudential Insurance Company of America, Newark, NJ and its affiliates.
Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at
staffingagencies@prudential.com
.
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