Compliance Analyst

Prudential Financial, Inc.

 

Prudential Investment Management (PIM) Compliance currently has an opening for an individual with 4-5 years experience to fill a Compliance Analyst position supporting PIM’s Fixed Income Asset Management group in Newark, NJ. PFI manages approximately $400 billion in client assets, spread across 500 distinct portfolios and ranks within the top 5 managers of public bond assets in the United States

PIM Compliance is responsible for ensuring that all portfolios are in compliance with applicable regulatory and contractual requirements, and for ensuring that the activities of PIM associates are in accordance with Prudential's general compliance policies governing employee conduct. In addition, PIM Compliance serves as a general resource for resolving legal and interpretive issues relating to the asset management business

 

Ongoing responsibilities for this position will include:

 

·       Reviewing client contracts which include portfolio investment guidelines and Regulatory documents both domestic and Internationally

·       Some Monitoring of fixed income portfolio investment guidelines both on an automated and manual basis

·       Researching potential violations of client guidelines regulatory rules, policies, and procedures, and reporting to management as appropriate

·       Reviewing client certifications and Board Reports as required, create necessary queries and reports to establish metrics for the compliance group

·       Stay up to date on current Legal and Regulatory requirements

·       Working with  Portfolio Managers and Traders to resolve any issues

·       Train more junior staff members on various aspects of Guideline monitoring, reviewing, analyzing potential violations

 

Qualified candidates should have the following:

·        Should have the following: 4-5 years of Fixed Income Investment guideline experience, good working knowledge of derivatives

·        Candidates must possess a high level of integrity

·        Excellent written and oral skills with attention to details

·        Excellent skills using MS software, especially Excel, knowledge of BRS compliance and trading system helpful

·        An independent worker who enjoys a fast-paced environment with strong organizational skills

·        Project management experience, with excellent time management skills

·        Good knowledge of Investment Company Act of 1940, Securities Act of 1933, Investment Advisors Act of 1940, ERISA and UCITS a plus.

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 company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's 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. Visit www.prudential.com to learn more about our values, our history and our brand.

Prudential is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, sex, disability status, protected veteran status, or any other characteristic protected by law.

Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at staffingagencies@prudential.com for more information about doing business with Prudential.

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