Regulatory Compliance Analyst, PGIM Fixed Income
Prudential Financial
- Newark, NJ
- $83,400-124,100 per year
- Permanent
- Full-time
- 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
- 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
- Fixed Income markets expertise
- 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
- Wellness Programs to help you achieve your wellbeing goals, including up to $1,600 a year for reimbursement of items purchased to support personal wellbeing needs
- Work/Life Resources to help support topics such as parenting, housing, senior care, finances, pets, legal matters, education, emotional and mental health, and career development.
- Tuition Assistance to help finance traditional college enrollment toward obtaining an approved degree, many accredited certificate programs, and industry designations.
- Employee Stock Purchase Plan: Shares can be purchased at 85% of the lower of two prices (Beginning or End of the purchase period), after one year of service.
If you need an accommodation to complete the application process, which may include an assessment, please email .Please 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 email to request assistance.