Fixed Income Compliance Analyst - Trade Surveillance & Insights

Prudential Financial, Inc.; Newark (NJ); Hybrid; USD 83,000 - 136,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

PTO

401(k) with company match

Wellness programs

Job summary

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.

Qualifications

• 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.

Responsibilities

• 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.

Skills

Fixed income compliance

Trading systems knowledge

Tools

Aladdin

Job description

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.