Compliance Analyst
Location:
Newark , New Jersey
Posted:
October 23, 2017
Reference:
FI 0002Y
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
  • V erify 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)
  • Pr ovide 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

Qualifications:
This is a challenging, fast-paced and deadline-driven position, requiring excellent communication, interpersonal and time management skills. The successful candidate must be a motivated professional with a minimum of 2-3 years of regulatory compliance, audit or other relevant experience in an investment advisory firm with:
  • A minimum of 3 years' investment advisory compliance experience
  • Familiarity with applicable SEC and FINRA rules; strong knowledge of the financial markets or a compliance background is highly beneficial
  • Marketing material review experience required
  • Must be able to work within tight deadlines
  • Excellent oral and written communication skills; possess ability to communicate with all levels of the organization
  • Basic knowledge of fixed income products
  • Candidates must possess a high level of integrity and strong work ethic
  • Bachelor's degree or equivalent experience

A little about us:
Prudential was founded on the belief that being financially prepared is a right, not a privilege.

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