Analyst, Compliance

Prudential Ins Co of America; Newark (NJ); Hybrid; USD 83,000 - 136,000; Full time

Job summary

Prudential Ins Co of America in Newark, NJ, is seeking a Compliance Analyst to own trade-surveillance investigations and provide proactive compliance guidance for Fixed Income Trading and related teams. You will combine data analysis with sound judgment to support senior leadership decisions.

This hybrid role requires 3+ years in fixed income compliance, strong Excel/Power BI/Tableau skills, and experience with trading systems (Aladdin preferred).

Qualifications

• 3+ years of compliance experience in fixed income.
• Experience with trading systems required; Aladdin experience strongly preferred.
• Strong analytical skills with Excel, Power BI, and Tableau.
• Excellent written and verbal communication; report to senior stakeholders.
• Collaborative, fast-paced, able to manage conflicting deadlines.
• Understanding of the global investment environment.

Responsibilities

• Support trade-surveillance investigations; review alerts and investigate activity.
• Partner with Portfolio Management, Operations, and Portfolio Analytics.
• Conduct substantive compliance analysis on trading activity and allocations.
• Prepare analysis and reporting for senior Fixed Income leadership.
• Provide proactive compliance guidance on amendments and reallocations.
• Support surveillance program development with Technology.
• Maintain clear, defensible records of investigations and actions.
• Oversee proxy voting compliance and maintain related policies.

Skills

Fixed income knowledge

Aladdin experience

Excel

Power BI

Tableau

Data analysis

Regulatory awareness

Stakeholder communication

Tools

Aladdin

Job description

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 elevate 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:

Prudential is required by state specific laws to include the salary range for this role when hiring a resident in applicable locations. 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.

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