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!
Are you a compliance professional with regulatory knowledge that enjoys working collaboratively?
PGIM Fixed Income, a division of PGIM Inc., an SEC-registered investment adviser and a business unit of Prudential Financial, Inc. is seeking a Compliance Analyst. PGIM Fixed Income has over $700 billion in assets under management across a broad array of fixed income strategies and client types including institutional separate accounts, sub-advised mutual funds, CLOs, offshore commingled and separate client accounts. PGIM Fixed Income has a strong commitment to its customers, including mutual fund investors, corporations, public retirement funds, Taft-Hartley plans, sovereign wealth funds, insurance companies, foundations, and endowments.
The Compliance Analyst role is a member of the PGIM Fixed Income Regulatory and Distribution Compliance Team, which is embedded directly in the PGIM Fixed Income business and interacts with mainly with the Client Advisory Group, which includes sales, consultant relations, product support, client management, and marketing teams. The team also provides daily support to all PGIM Fixed Income employees with respect to policies, procedures and regulatory requirements. This is an exciting, fast-paced, and deadline-driven environment, which requires excellent interpersonal and time management skills.
The current EWA 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
- Compliance review of marketing material, client due diligence questionnaires, vetting of potential investors and related certifications, RFPs, etc.
- Providing regulatory support with respect to applicable SEC, FINRA and NFA/CFTC requirements
- Collaborate on periodic internal and external exams and reviews
- Providing guidance to all PGIM Fixed Income employees with respect to regulatory issues and related policy and procedural requirements (e.g., Anti-Money Laundering, Anti-Bribery/FCPA requirements, Code of Ethics requirements, including pay-to-play, personal trading, lobbying, political contributions, gift and entertainment, etc.)
- Contributing to the overall maintenance of the compliance monitoring program and initiating revisions as needed
- Preparing reports and presentations on compliance-related topics
What you'll need
- 5+ years of regulatory or compliance (or related) experience in an investment advisory or broker-dealer firm
- Knowledge of SEC and CFTC rules
- Knowledge of asset management products including '40 Act Funds, Hedge Funds, ERISA plans, UCITS, and separate accounts
- Stellar data analysis skills with the ability to gather and draw actionable conclusions from data
- Excellent written and verbal communication skills, organizational skills, and attention to detail
It'd be a plus if you had
- Fixed Income markets expertise
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. 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
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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. Visitwww.prudential.comPrudential 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 atstaffingagencies@prudential.com.PEOPLE WITH DISABILITIESaccommodations.hw@prudential.comPlease note that the above email is solely for individuals with disabilities requesting an accommodation. If you are experiencing a technical issue with your application or an assessment, please emailcareers.technicalsupport@prudential.comto request assistance.