Analyst, Compliance

Prudential Ins Co of America in; Newark (NJ); Híbrido; USD 83.000 - 136.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Medical insurance

Dental insurance

Vision insurance

PTO

401(k) with company match

Wellness programs

Descripción de la vacante

Prudential Financial, Inc. in Newark, NJ is seeking a Compliance Analyst to own trade-surveillance investigations for the Fixed Income Trading and Securities Lending teams.

You will partner with Portfolio Management, Operations, and Portfolio Analytics to gather context and produce analyses for leadership. The role requires 3+ years in fixed income compliance, experience with trading systems (Aladdin preferred), and strong data skills in Excel, Power BI, and Tableau.

Formación

• 3+ years of compliance experience covering fixed income and knowledge of fixed income trading strategies.
• Experience working with trading systems; Aladdin experience strongly preferred.
• Excellent written and verbal communication, with ability to report to senior stakeholders.

Responsabilidades

• Support trade-surveillance investigations. Review alerts, exceptions, and outliers; investigate potentially concerning activity; and establish the circumstances behind flagged transactions.
• Partner with investment and operational teams. Engage Portfolio Management, Operations, and Portfolio Analytics to gather information and clarify trading decisions.
• Conduct substantive compliance analysis. Evaluate fair and equitable trade allocations, best execution, trading conflicts, front running, and cherry picking.
• Prepare analysis for senior Fixed Income leadership. Produce reporting on significant findings and trends for senior leadership.
• Provide proactive compliance guidance. Review trade amendments, reallocations, and other matters raised by Operations and Portfolio Management; provide guidance or compliance approval.
• Advise on information barriers and regulatory matters.
• Strengthen surveillance through data and technology. Help manage, develop, and modernize the program.
• Maintain clear, defensible records. Document investigative steps, supporting evidence, assessments, escalations, and closures.
• Support broader compliance programs. Oversee proxy voting compliance programs and maintain policies and procedures that support evolving business needs and compliance objectives.

Conocimientos

Fixed income compliance

Trading systems knowledge

Herramientas

Aladdin

Descripción del empleo

Job Classification: Corporate - Legal and Compliance At Prudential, talent drives our vision. Join us to build an impactful career, grow your skills, and advance your profession at one of the world’s leading financial services institutions. PGIM Credit, a division of PGIM Inc., an SEC-registered investment adviser and a business unit of Prudential Financial, Inc., is seeking a Compliance Analyst. With over $1 trillion in assets under management across fixed income and private credit strategies, PGIM Credit serves sub-advised mutual funds, CLOs, public retirement funds, Taft-Hartley plans, sovereign wealth funds, insurance companies, and other commingled and separate client accounts. As a Compliance Analyst, you’ll take ownership of trade-surveillance investigations and provide proactive compliance guidance for the Fixed Income Trading and Securities Lending, Special Situations (workouts), and Asset Backed Financing investment teams. You’ll combine data analysis, fixed income trading knowledge, and sound judgment to assess activity, reach well-supported conclusions, and identify concerns requiring escalation. Working closely with Portfolio Management, Operations, and Portfolio Analytics, you’ll gather context, ask thoughtful questions, and prepare analysis that informs senior Fixed Income leadership discussions. This collaborative, fast-paced role offers the opportunity to strengthen surveillance practices as business needs and regulatory expectations evolve. This role is based in our office in Newark, NJ. Our organization follows a hybrid work structure where employees can work remotely and from the office, as needed, based on demands of specific tasks or personal work preferences. This position is hybrid and requires your on-site presence on a reoccurring weekly basis at least 3 days per week.

What you can expect:

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

What you’ll need:

• 3+ years of compliance experience covering fixed income, with knowledge of fixed income trading strategies. Experience working with trading systems is required; Aladdin experience is strongly preferred.
• Strong analytical skills and proficiency in Excel, Power BI, and Tableau, with the ability to interpret data and draw actionable conclusions.
• Sound judgment and an understanding of business risks, the marketplace, and the regulatory environment.
• Confidence engaging 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.
• A collaborative approach and an understanding of the complexities and nuances of working in a global investment environment.

#LI-Hybrid #LI-LR1

What we offer you:

The salary range for this role is from $82,500.00 to $136,100.00. Specific pricing for the role may vary within the above range based on many factors including geographic location, candidate experience, and skills. 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). 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. To find out more about our Total Rewards package, visit Work Life Balance | Prudential Careers. Some of the above benefits may not apply to part-time employees scheduled to work less than 20 hours per week.

Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom.

Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status, medical condition or any other characteristic protected by law. To maintain the integrity and security of our hiring process, Prudential may use identity verification technologies. Your consent will be obtained before any verification takes place. If you need an accommodation to complete the application process, please email [e-mail]. If you are experiencing a technical issue with your application or an assessment, please email [e-mail] to request assistance.

Prudential Financial, Inc. (NYSE: PRU), a global financial services leader and premier active global investment manager with approximately $1.4 trillion in assets under management as of Dec. 31, 2023, has operations in the United States, Asia, Europe, and Latin America. Prudential’s diverse and talented employees help make lives better and create financial opportunity for more people by expanding access to investing, insurance, and retirement security. Prudential’s iconic Rock symbol has stood for strength, stability, expertise and innovation for 150 years. For more information please visit news.prudential.com.

Our Commitment to an Inclusive Workplace

Prudential Financial, Inc. serves its customers in more than 40 countries and territories, and we seek talented, creative individuals from a variety of backgrounds, worldviews, and life circumstances to work with us. We are focused on creating a fully inclusive culture, where all employees feel comfortable bringing their authentic selves to work. We don’t just accept difference—we celebrate it, support it, and thrive on it. At Prudential, employees have a unique opportunity to build their career path by owning their development, their career, and their future. We encourage employees to hone their skills and explore continued opportunities within Prudential.

PGIM, the global asset management business of Prudential Financial, Inc. (NYSE: PRU), is a global investment manager with US $1.3 trillion in assets under management as of Dec. 31, 2023. With offices in 18 countries, PGIM’s businesses offer a range of investment solutions for retail and institutional investors around the world across a broad range of asset classes, including public fixed income, private fixed income, fundamental equity, quantitative equity, real estate, and alternatives. For more information about PGIM, visit pgim.com.

Prudential Financial, Inc. (PFI) of the United States is not affiliated in any manner with Prudential plc, incorporated in the United Kingdom, or with Prudential Assurance Company, a subsidiary of M&G plc, incorporated in the United Kingdom. For more information please visit news.prudential.com.

PGIM Inc. (PGIM) is the principal asset management business of Prudential Financial, Inc. (PFI), a company incorporated and with its principal place of business in the United States. PFI of the United States is not affiliated in any manner with Prudential plc, incorporated in the United Kingdom or with Prudential Assurance Company, a subsidiary of M&G plc, incorporated in the United Kingdom.

Our Commitment to an Inclusive Workplace

Prudential Financial, Inc. serves its customers in more than 40 countries and territories, and we seek talented, creative individuals from a variety of backgrounds, worldviews, and life circumstances to work with us. We are focused on creating a fully inclusive culture, where all employees feel comfortable bringing their authentic selves to work. We don’t just accept difference—we celebrate it, support it, and thrive on it. At Prudential, employees have a unique opportunity to build their career path by owning their development, their career, and their future. We encourage employees to hone their skills and explore continued opportunities within Prudential.