Manager, Compliance - PGIM

Prudential Annuities Distributors (PAD); Newark (NJ); On-site; USD 115,000 - 189,000; Full time

Benefits offered by this job

Market-competitive base salaries

Annual bonus potential

Medical, dental, vision insurance

401(k) plan with company match

Company-funded pension plan

Wellness programs

Job summary

Prudential Financial, Inc. in Newark, NJ seeks a Manager to support PGIM regulatory, contractual, and compliance needs as a registered investment adviser. The role emphasizes marketing and distribution compliance, reviewing materials, and guiding campaigns and product launches.

The position supports collaboration with sales and product teams, ensures regulatory alignment, and improves the advertising review process. Hybrid work model with on-site presence required part of each week.

Qualifications

• Bachelor’s degree required; advanced degree preferred.
• Series 7 and 24 required; familiarity with marketing, advertising and communications review.
• Strong knowledge of FINRA and SEC rules; ability to translate regulatory guidance into practical guidance.

Responsibilities

• Support PGIM compliance program to prevent, detect, and mitigate violations.
• Review and approve marketing materials for SEC/FINRA and firm policies.
• Evaluate retail, institutional, and advisory communications for regulatory needs.
• Assess disclosures for accuracy, balance, and risk information.
• Partner with marketing/sales/product/legal to resolve review comments.
• Monitor regulatory developments and implement policy updates.
• Contribute to compliance training and advertising review improvements.
• Deliver high-quality work on deadlines and manage department deliverables.

Skills

Regulatory compliance

Marketing compliance

FINRA rules

SEC rules

Advertising review

Investment adviser materials

Product development guidance

Education

Bachelor's degree

Series 7 and 24

Job description

Job Classification

Corporate - Legal and Compliance Prudential Financial companies serve individual and institutional customers worldwide and includes The Prudential Insurance Company of America, one of the largest life insurance companies in the United States. These companies offer a variety of products and services, including life insurance, mutual funds, annuities, pension and retirement-related services and administration, asset management, banking and trust services. PGIM is the principal asset management business of Prudential Financial.

The Manager will support PGIM in meeting the regulatory, contractual, and compliance requirements associated with its activities as a registered investment adviser. This role supports strategic initiatives across the PGIM business, with an emphasis on marketing and distribution compliance. This includes reviewing marketing materials and other advertising communications and helping enhance the effectiveness of the compliance program in accordance with regulatory expectations and evolving best practices. The Manager will also partner with sales and product management leaders to provide proactive regulatory guidance on sales and marketing practices, campaigns, product development, and product launches.

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. For those outside of the commutable Newark location, we are open to virtual work arrangements.

Key Responsibilities

Key Responsibilities: The scope of this role will evolve as business needs, compliance objectives, regulatory expectations, and departmental priorities change. Key responsibilities include:

• Support the PGIM compliance program in preventing, detecting, and mitigating violations of applicable laws, regulations, and Prudential policies.


• Review and approve marketing and advertising materials for compliance with SEC, FINRA, and firm policies.


• Evaluate retail, institutional, and advisory communications to determine applicable regulatory requirements.


• Assess communications for accuracy, balance, and appropriate disclosures, including performance, risk, and product information.


• Partner with marketing, sales, product, and legal teams to provide compliance guidance and resolve review comments.


• Monitor regulatory developments and assist with implementing related policy and procedural updates.


• Contribute to compliance training and the ongoing enhancement of advertising review processes.


• Deliver timely, high-quality work that meets established standards and deadlines, and support the management of departmental deliverables.

Position Qualifications

The successful candidate will bring intellectual curiosity, strong business acumen, and a solutions-oriented approach. They will demonstrate an ownership mindset and be comfortable navigating uncertainty. Additional required qualifications include: Bachelor’s degree required; an advanced degree is preferred. Series 7 and 24 required Marketing, advertising and communications review experience is required, particularly experience reviewing investment adviser and separate account materials, private funds, mutual funds, ETFs, non-registered products, CITs, and UCITS. Demonstrated understanding of the regulatory framework for the marketing and distribution of the above products. Strong knowledge and understanding of FINRA and SEC rules and regulations. Understand key business risks, market dynamics, and the regulatory environment. Demonstrates strong problem-solving, critical thinking, and change management capabilities, with the ability to assess broader business implications and develop practical, risk-based solutions. Thrives in a fast-paced environment by effectively prioritizing competing demands, adapting to evolving priorities, and maintaining a high level of accuracy and attention to detail. Communicates complex concepts clearly and effectively, both verbally and in writing, while building collaborative, inclusive relationships across teams and stakeholders. Brings a growth mindset and curiosity for continuous learning, with an understanding of business risks, market dynamics, regulatory requirements, and customer needs to deliver practical compliance guidance.

#LI-LR1 #LI-Remote

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 $114,500.00 to $188,900.00.


• 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 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.

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.

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.

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.