Senior Associate, PGIM Central Compliance
Senior Associate, PGIM Central Compliance
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Job Description
Job Classification:
Corporate - Legal and ComplianceAt Prudential we believe talent is key to achieving our vision. When you join Prudential youll unlock a motivating and impactful career all while growing your skills and advancing your profession at one of the worlds leading financial services institutions!
Are you a compliance professional who can establish relationships and operationalize regulatory requirements
Prudential Financial companies serve individual and institutional customers worldwide and include The Prudential Insurance Company of America one of the largest life insurance companies in the United States and PGIM Inc. a global leader in asset management. These companies offer a variety of products and financial solutions including life insurance mutual funds asset management annuities and pension and retirement-related services and administration.
PGIM a part of the Prudential Financial family is a registered investment adviser with nearly $1.4 trillion in assets under management.
The PGIM Central Compliance team has a Senior Compliance Associate level position available located in Newark N.J. The Associate will support PGIM regarding the certain regulatory contractual and compliance requirements associated with a registered investment advisor. This role will also serve as a key resource with respect to ongoing project work crafted to support and improve the PGIM compliance programs. The position will work with several established compliance officers to provide day-to-day compliance support to the PGIM functional support units (Executives Strategy People Risk Communications etc.) and any whole PGIM initiatives and projects.
The current EWA for this position is Hybrid and requires your on-site presence of three days per week. Your manager will provide additional details relative to the specific days you are expected to be on-site.
What you can expect:
Supporting all aspects of the personal securities trading (PST) program for employees of a registered investment adviser
Maintaining PGIM compliance training material in accordance with current Company policies and programs including new hire certifications
Reporting on various types of employee conduct requirements including outside business activities gifts and entertainment and political contributions
Maintaining Compliance Standard Operating Procedures
Assist in Compliance Risk Assessment planning and annual Compliance Review process.
Support annual regulatory filing compliance and related efforts.
What youll need:
Ability to identify and understand key business risks marketplace and regulatory environment
Strong interpersonal skills to collaborate with various business units legal and compliance contacts
Curiosity to consider alternative approaches to solve problems.
Strong project management skills to mobilize solutions spanning competing areas
1-2 years of Compliance experience
Proficiency in Microsoft Office
Itd be a plus if you had:
Bachelors Degree in business related field
Asset Management Industry knowledge
Prudential welcomes all applicants even if you dont meet every requirement. If your skills align with the role we encourage you to apply.
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 $53700.00 to $83300.00. 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 $1600 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) after one year of service.
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 .
If you are experiencing a technical issue with your application or an assessment please email to request assistance.
Required Experience:
Senior IC
Employment Type
Full-Time
