Compliance Analyst - Marketing ReviewBookmark This
The Marketing Material Reviewer (MMR) is responsible for compliance functions with regard to approval of sales and advertising material. This position involves marketing material review, including the review of new products, reference, training, and educational materials; and marketing, advertising, and other public communications. In this role, the reviewer will ensure compliance with regulatory requirements, internal company policies and procedures, and will prepare the necessary filings with appropriate regulatory agencies. Responsibilities can include both broad compliance issues (e.g., evaluation of new regulations, research on major issues, and development of Prudential's response to proposed regulations) and more narrowly defined issues. This position also requires the analyst to perform other compliance functions on an “as needed” basis for PI Compliance.
· Two or more years experience in Compliance, or similar function;
· Broad understanding of advertising regulations and products relating to financial products as well as SEC and FINRA requirements;
· Familiarity with issues relating to the Internet, social media and electronic commerce;
· Knowledge of Prudential Investments’ mutual fund business is desired,
· Excellent project management and organizational skills;
· Strong analytical and problem solving skills,
· Sound professional judgment,
· Strong verbal and written skills,
· Strong relationship management skills,
· Currently possess Series 7 and 24 or willingness to obtain those licenses within six months; and
· Previous experience in sales and advertising is highly desired but not required.
Commensurate experience will be considered.