Compliance Analyst - PGIM Investments (Hybrid) (Finance)
Job Classification:
Corporate - Legal and ComplianceTake 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'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.
The PGIM Investments Compliance department is a global team responsible for the compliance oversight program for PGIM Investments. As noted, PGIM Investments is a manager or co-manager to certain mutual funds, ETFs, alternatives, and UCITS and the PGIM Investments Compliance team is responsible for the overseeing and executing the compliance programs for the mutual fund complexes at PGIM. In addition, the PGIM Investments Compliance department is responsible for providing compliance support and oversight to other registered investment advisers within the PGIM Investments organization, including PGIM Custom Harvest and PGIM DC Solutions. PGIM Custom Harvest is provides ETF-based direct indexing strategies through separately managed accounts to maximize tax-loss harvesting opportunities. PGIM DC Solutions provides advisory services for participants in defined contribution plans in the United States. These advisory services include managed accounts, target date portfolios, and retirement spending portfolios.
PGIM Investments LLC (“PGIM Investments”), is seeking an Analyst candidate to be a part of the PGIM Investments Compliance team located in its Newark, N.J office. The Analyst will support the PGIM Investments Compliance department in its regulatory, contractual, and compliance requirements associated with its activities as a registered investment adviser and manager of mutual funds, closed-end funds, and ETFs.
What you can expect:
- Manage PGIM Investment's compliance testing and monitoring program and other risk assessments including coordinating with strategic partners (i.e., risk and internal audit) on assessments related to our advisory and mutual fund businesses.
- Develop and maintain adviser compliance policies and procedures.
- Oversee the preparation of reports and other materials for internal governance bodies and fund boards of directors.
- Oversee employee conduct obligations including employee personal securities trading, political contribution, gifts and entertainment, outside business activities, and analyze/report out on metrics to senior management.
- Assist with the development of compliance training content for employees.
- Support global compliance programs in Europe, Middle East, and Asia.
- Participate in global and U.S. projects, including those related to regulatory changes and changes in the firm's business.
What you'll need:
- Strong collaboration and interpersonal skills to interface with various business unit, legal and compliance contacts.
- Excellent written and oral skills and strong attention to detail.
- Demonstrates accountability and ability to prioritize to meet deadlines.
- Experience with Power BI or other data analysis tools as well as AI technology.
- Experience with data science and analytics.
- Strong project management skills, including the ability to manage several projects at once.
- Prior compliance experience at a registered investment adviser is a plus.
- Bachelor's degree.
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What we offer you:
Prudential is required by state specific laws to include the salary range for this role when hiring a resident in applicable locations. The salary range for this role is from $83,500.00 to $129,500.00. Specific pricing for the role may vary within the above range based on many factors including geographic location, candidate experience, and skills.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.
401(k) plan with company match (up to 4%).
Company-funded pension plan.
Wellness Programs 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.
Education Benefit to help finance traditional college enrollment toward obtaining an approved degree and many accredited certificate programs.
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.
Eligibility to participate in a discretionary annual incentive program is subject to the rules governing the program, whereby an award, if any, depends on various factors including, without limitation, individual and organizational performance. To find out more about our Total Rewards package, visit Work Life Balance | Prudential Careers. Some of the above benefits may not apply to part-time employees scheduled to work less than 20 hours per week.
Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom.
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.
If you need an accommodation to complete the application process, please email accommodations.hw@prudential.com.
If you are experiencing a technical issue with your application or an assessment, please email careers.technicalsupport@prudential.com to request assistance.
