Compliance AnalystBookmark This
DescriptionPrudential Investment Management (PIM) Compliance seeks a Compliance Analyst – to support PIM's Public Fixed Income unit in Newark, NJ. Prudential Fixed Income is a division of Prudential Investment Management Inc., an SEC-registered investment adviser to institutional and retail clients through its specialized asset management units.
The position will report to the Compliance Director of Prudential Fixed Income Sales and Marketing Compliance, and will provide direct, day-to-day compliance support to Prudential Fixed Income's Sales Marketing 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
- Ensure that sales and marketing activities are carried out in accordance with licensing or exemption requirements of applicable US and non-US jurisdictions
· Assisting with ad hoc compliance projects (e.g., client reports, compliance attestations/certifications)
· Support the development of new initiatives (e.g., AIFMD, Jobs Act)
- Train new employees; create training material for, and provide in-person training on, key policies and new regulatory requirements
- Create new and maintain existing procedures
This is a challenging, fast-paced, and deadline-driven position, requiring excellent communication, interpersonal and time management skills, and powerful motivation and initiative. The successful candidate will have a minimum of 2-3 years of regulatory compliance experience in an investment advisory firm with:
· Basic knowledge of fixed income products
· Familiarity with SEC and FINRA rules; strong knowledge of the financial markets or a compliance background is highly beneficial
· Excellent oral and written communication skills
· Candidates must possess a high level of integrity