Manager, Compliance - PGIM

Prudential Financial, Inc; Newark (NJ); Hybrid; USD 115,000 - 189,000; Full time

Benefits offered by this job

Market-competitive base salaries

Annual bonus potential

Medical, dental, vision, disability, 0

401(k) plan with company match

Company-funded pension plan

Wellness programs

Work/Life resources

Education benefits

Employee stock purchase plan

Job summary

Prudential Financial, Inc. in Newark, NJ, is seeking a Manager to support PGIM's regulatory, contractual, and compliance requirements as a registered investment adviser.

The role emphasizes marketing and distribution compliance, reviewing materials, and strengthening the compliance program. You will partner with sales, product management, and legal teams to provide proactive regulatory guidance on campaigns, product launches, and disclosures.

Qualifications

• Bachelor's degree required; advanced degree preferred.
• Series 7 and 24 required.
• Experience reviewing marketing, advertising and communications related to investment products.
• Understanding of regulatory framework for marketing and distribution of investment adviser and funds.
• Strong knowledge of FINRA and SEC rules.

Responsibilities

• Support the PGIM compliance program in preventing, detecting, and mitigating violations of applicable laws and Prudential policies.
• Review and approve marketing and advertising materials for compliance with SEC, FINRA, and firm policies.
• Evaluate communications for accuracy, balance, and appropriate disclosures (performance, risk, product information).
• Provide compliance guidance with marketing, sales, and product teams; resolve review comments.
• Monitor regulatory developments and implement related policy updates; contribute to training and review processes.
• Deliver timely, high-quality work meeting standards and deadlines.

Skills

Series 7/24

Regulatory compliance

Financial securities

Communication skills

Education

Bachelor's degree

Advanced degree preferred

Job description

Job Classification:

Corporate - Legal and Compliance

Prudential Financial companies serve individual and institutional customers worldwide and include s 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:

• 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:

• 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 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.

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.