Hybrid Fixed Income Compliance Analyst — Trade Surveillance

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) match

Job summary

Prudential Financial, Inc. is seeking a Compliance Analyst for PGIM Credit in Newark, NJ. The role focuses on trade-surveillance investigations and proactive compliance guidance for Fixed Income teams, collaborating with Portfolio Management, Operations, and Analytics.

Hybrid work requires on-site presence 3 days per week. You will analyze activity, interpret results, and prepare analyses for senior leadership while ensuring records and regulatory requirements are maintained.

Qualifications

• 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.
• Excellent written and verbal communication skills, including the ability to translate complex analysis into clear reporting for 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. 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.

Skills

Compliance experience

Analytical skills

Excel

Power BI

Tableau

Aladdin experience

Communication skills

Tools

Aladdin

Power BI

Tableau

Excel

Job description

Prudential Financial, Inc. is seeking a Compliance Analyst for PGIM Credit in Newark, NJ. The role focuses on trade-surveillance investigations and proactive compliance guidance for Fixed Income teams, collaborating with Portfolio Management, Operations, and Analytics.

Hybrid work requires on-site presence 3 days per week. You will analyze activity, interpret results, and prepare analyses for senior leadership while ensuring records and regulatory requirements are maintained.