Compliance Analyst
Location:
Newark , New Jersey
Posted:
November 21, 2017
Reference:
8005827

PGIM Fixed Income Compliance seeks a Compliance Analyst 10 to support PGIM's public fixed income business in Newark, NJ.  PGIM Fixed Income is a business of PGIM, Inc., an SEC-registered investment adviser and a Prudential Financial, Inc. company.

The position will report to the Compliance Manager and will provide direct, day-to-day compliance support to PGIM Fixed Income's Client Advisory Group’s business initiatives. 

Responsibilities include the following:

  • A significant portion of this position's duties will consist of performing compliance review of marketing material and literature (including GIPS compliant presentations and supplemental presentations, advertisements (including white papers, newsletters, etc.), RFPs, and client DDQs  
  • Verify that client advisory activities are carried out in accordance with licensing requirements of applicable US and non-US jurisdictions 
  • Field day-to-day compliance questions, related in particular to gifts & entertainment, political law, anti-bribery, anti-money laundering, personal securities transactions, broker-dealer licensing and related procedures and other investment advisor-related policies and procedures
  • Assist with ad hoc compliance projects (e.g., client reports, compliance attestations/certifications)
  • Provide in-person training on key policies and new regulatory requirements
  • Create new and maintain existing operating procedures
  • Assist with document production in connection with regulatory exams, inquiries and audits

A little about us:
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