Analyst, PGIM Global Marketing and Distribution Compliance

Prudential Financial • Newark, NJ

16d • Hybrid

About The Position

PGIM Global Marketing and Distribution Compliance is seeking an Analyst role to be in Newark, N.J. The analyst will work within the Compliance organization to support the global regulatory, contractual, and compliance requirements associated with the activities of the registered investment adviser. PGIM is the principal asset management business of Prudential Financial. The Analyst will support the compliance team to transform and evolve the existing compliance program through the on-going development of efficient, consistent and effective policies and programs. This includes but is not limited to the development of compliance culture, awareness, training, monitoring and testing, reporting and metrics, maintenance of books and records and documentation. The role will primarily focus on supporting the marketing and distribution activities for affiliated business teams with the review and approval of marketing materials and other advertising collateral promoting the PGIM business and developing enhanced processes within a centralized team. Additional focus will be to support and partner with sales and product management teams around sales practices to provide proactive regulatory guidance on initiatives, product development, fund launches and brand campaigns. The role also involves supporting strategic initiatives across PGIM, as well as broader corporate compliance mandates. The current EWA for this position is Hybrid or Remote and requires your on-site presence on a reoccurring basis as determined by your business. Your manager will provide additional details relative to the specific number of days you are expected to be on-site. What you can expect: The scope and responsibilities of this role will not be static. As business needs and compliance objectives change, the responsibilities of the position are expected to evolve to meet the changing regulatory landscape and departmental deliverables.

Requirements

• Marketing and communication review experience required, particularly reviews of adviser and separate account materials. Prior experience with mutual funds, ETFs, non-registered products, CITs, UCITs, and private funds a plus.
• Demonstrated understanding of the regulatory framework for the marketing and distribution of separate accounts and other investment products (e.g., mutual funds, ETFs, 3c7, collective funds).

Nice To Haves

• FINRA Series 7 and 24 are preferred, but not mandatory for consideration. Candidates without these licenses will be given the opportunity to obtain.

Responsibilities

• Support PGIM Global Marketing and Distribution Compliance in designing an effective compliance program to prevent, detect and mitigate violations of all applicable law, regulation, and Prudential policies
• Provide compliance support to global marketing and distribution activities.
• Conduct thorough reviews of all marketing and advertising materials- including print, digital, social media, and presentations- to ensure compliance with SEC, FINRA, and other applicable regulatory requirements.
• Coordinate with compliance, legal, and business partners to develop solutions and provide business teams guidance on regulatory best practices.
• Proactively maintain up-to-date knowledge of relevant regulations, including SEC Rule 206(4)-1(Marketing Rule), FINRA Rule 2210(Communications with the Public), and other applicable rules and interpretive guidance.
• Demonstrate a solution-oriented mindset, effectively collaborate with business partners and other teams, provide timely, quality work product, meet manager standards and deadlines; and assist in managing the department’s deliverables.

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed
• Number of Employees: 5,001-10,000 employees