Analyst, PGIM Global Marketing and Distribution Compliance

Analyst, PGIM Global Marketing and Distribution Compliance (Finance)

Job Classification:
Corporate - Legal and Compliance

Location:

Newark, New Jersey

PGIM Global Marketing and Distribution Compliance is seeking an Analyst based in Newark, N.J. The analyst will work within the Compliance organization to support the global regulatory, contractual, and compliance requirements associated with the activities of the registered investment adviser. The role focuses on supporting marketing and distribution activities, transforming the compliance program, and partnering with sales and product management teams on regulatory guidance.

The scope and responsibilities of this role will not be static and will evolve with changing business needs and the regulatory landscape.

• Support PGIM Global Marketing and Distribution Compliance in designing an effective compliance program to prevent, detect, and mitigate violations of all applicable law, regulation, and Prudential policies.
• Provide compliance support to global marketing and distribution activities.
• Conduct thorough reviews of all marketing and advertising materials—including print, digital, social media, and presentations—to ensure compliance with SEC, FINRA, and other applicable regulatory requirements.
• Coordinate with compliance, legal, and business partners to develop solutions and guidance on regulatory best practices.
• Proactively maintain up-to-date knowledge of relevant regulations, including SEC Rule 206(4)-1 (Marketing Rule), FINRA Rule 2210 (Communications with the Public), and other guidance.
• Demonstrate a solution-oriented mindset, collaborate with partners, provide timely, quality work product, meet manager standards and deadlines, and assist in managing the department's deliverables.

• Marketing and communication review experience, especially of adviser and separate account materials. Experience with mutual funds, ETFs, non-registered products, CITs, UCITs, and private funds is a plus.
• Demonstrated understanding of the regulatory framework for marketing and distribution of separate accounts and other investment products (e.g., mutual funds, ETFs, 3c7, collective funds).
• FINRA Series 7 and 24 are preferred, but not mandatory. Candidates without these licenses will have the opportunity to obtain them.

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 $83,500.00 to $.

• 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), 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. 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, genetics, disability, marital status, age, veteran status, domestic partner status, medical condition or any other characteristic protected by law.

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