Analyst, Compliance

Prudential Financial•Newark, NJ

9d•Hybrid

About The Position

PGIM Credit, a division of PGIM Inc. and a business unit of Prudential Financial, is seeking a Compliance Analyst to support compliance for its Fixed Income Trading and Securities Lending, Special Situations (workouts), and Asset Backed Financing investment teams. The role focuses on trade-surveillance investigations and proactive compliance guidance, combining data analysis, fixed income trading knowledge, and sound judgment to assess activity, reach well-supported conclusions, and identify issues for escalation. The analyst collaborates with Portfolio Management, Operations, Portfolio Analytics, Technology, and senior Fixed Income leadership in a fast-paced environment where surveillance practices evolve with business needs and regulatory expectations. The position is based in Newark, New Jersey, and follows a hybrid work structure. Employees are required to be onsite at least three days per week. The role also supports broader compliance programs, including proxy voting, and maintains policies and procedures as business needs and compliance objectives evolve.

Requirements

At least 3 years of compliance experience covering fixed income, with knowledge of fixed income trading strategies.
Experience working with trading systems.
Strong analytical skills and proficiency in Excel, Power BI, and Tableau, including the ability to interpret data and draw actionable conclusions.
Sound judgment and an understanding of business risks, the marketplace, and the regulatory environment.
Ability to engage investment professionals and business partners, ask probing questions, respectfully challenge explanations, and communicate compliance guidance clearly and constructively.
Excellent written and verbal communication skills, including the ability to translate complex analysis into clear reporting for senior stakeholders.
Strong attention to detail, organizational, time-management, and process-improvement skills.
Comfort managing competing deadlines, ambiguity, and evolving priorities.
Collaborative approach and understanding of the complexities and nuances of working in a global investment environment.

Nice To Haves

Aladdin experience is strongly preferred.

Responsibilities

Review trade-surveillance alerts, exceptions, and outliers; investigate potentially concerning activity and establish the circumstances behind flagged transactions.
Partner with Portfolio Management, Operations, and Portfolio Analytics to gather information and clarify trading decisions.
Analyze fair and equitable trade allocations, best execution, trading conflicts, front running, and cherry picking.
Interpret surveillance results in the trading context, reach conclusions, and escalate concerns as appropriate.
Prepare reporting on significant findings and trends for senior Fixed Income leadership.
Review trade amendments, reallocations, and other matters raised by Operations and Portfolio Management; provide compliance guidance or approval as appropriate.
Advise on information barriers and regulatory matters.
Help manage, develop, and modernize the surveillance program in partnership with Technology; review system outputs and validate results against trading and compliance expectations.
Document investigative steps, supporting evidence, assessments, escalations, and closures in clear, defensible records.
Oversee proxy voting compliance programs and maintain policies and procedures that support evolving business needs and compliance objectives.

Benefits

Market-competitive base salary with yearly bonus potential at every level.
Medical, dental, vision, life, and disability insurance.
Paid Time Off (PTO) and leaves of absence, including parental and military leave.
401(k) plan with company match up to 4%.
Company-funded pension plan.
Wellness programs, including up to $1,600 per year for reimbursement of qualifying personal wellbeing purchases.
Work/Life Resources for parenting, housing, senior care, finances, pets, legal matters, education, emotional and mental health, and career development.
Education Benefit to help finance approved college enrollment and accredited certificate programs.
Employee Stock Purchase Plan, allowing eligible shares to be purchased at 85% of the lower of the beginning or ending purchase-period price.
Eligibility to participate in a discretionary annual incentive program, subject to program rules and performance factors.