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Senior Compliance Associate
2 months ago
Job Classification:
Corporate - Legal and Compliance
We believe talent is key to achieving our vision. 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
PGIM, Inc. (PGIM) Compliance is currently seeking a Senior Associate to support the PGIM Private Capital (PPC) business of its Private Alternatives platform in Newark, NJ. PGIM is the asset management business of Prudential Financial, Inc. and manages nearly $100 billion portfolio as of 12.31.23 across multiple strategies. The PGIM Private Alternatives businesses include PGIM Private Capital, PGIM Real Estate and Montana Capital Partners.
The position primarily involves the daily compliance support of PPC including internal and third party audit support, gifts & entertainment matters, personal securities trading matters, and other compliance functions with three other compliance officers. The position will work closely with several established compliance officers to provide day-to-day compliance support.
The current employee work arrangement for this position is Hybrid and requires your on-site presence on a reoccurring basis as determined by your business. Your manager will provide additional details relative to the specific number of days you are expected to be on-site.
What you can expect:
Assistance with Compliance Risk Management Program (CRMP) and the Firms Global Compliance Programs
Confirmation of completion of associates attestations, training and delivery of ad hoc compliance training
Reconciliation of Gifts & Entertainment entries
Monthly/Periodic Compliance Metrics and reports to senior management
Assistance with annual ACA Rule 206(4)7 Review, requests from Audit, government & regulatory inquiries and examinations, etc.
Administration of IABQ review process
Compliance review of marketing material, RFPs, due diligence questionnaires and client material
Personal securities trading and information barrier monitoring; private side monitored list reviews and maintenance; email reviews; and document retention administration.
What youll need:
Bachelor's degree.
1 years of experience in a compliance, regulatory, audit, operations, or similar control function.
Candidates must be able to work independently and possess an extremely high level of integrity.
Strong written and verbal communication skills.
Highly motivated and results driven.
Outstanding research, analytical and practical problem-solving skills.
Excellent time management skills with great attention to detail.
Strong interpersonal and relationship building skills; ability to effectively collaborate and negotiate with personnel at all levels.
Technically savvy including a deep understanding of the MS Office Suite of software, more specifically Microsoft Excel.
Itd be a plus if you had:
Advanced degree.
Knowledge of fixed income instruments and financial markets.
Knowledge of the statutory requirements of the Investment Company Act and the Investment Adviser Act.
Asset management industry knowledge.
Prudential welcomes all applicants, even if you don't meet every requirement. If your skills align with the role, we encourage you to apply.
At Prudential, you can:
Take charge of your career. People who have successfully developed their skills in this role have gone on to be promoted within this department and have also gone on to have success across Prudential.
We equip and empower our employees to expand their skills and experience by using powerful learning, gigs, and job opportunities. We offer a suite of services such as on demand resources and networking to propel your career forward.
Were a global organization, full of outstandingly dedicated people who arent afraid to think differently, challenge the status quo and take sensible risks along the way. You will enjoy pushing boundaries as we build innovative technology that helps clients, customers and employees live their best lives. You will have access to leadership and learning opportunities and the resources needed to take your career in any direction. We will help you do your best work, offering flexibility, while delivering on our Purpose.
What we offer you:
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
Retirement plans:
401(k) plan with company match (up to 4%)
Company-funded pension plan
Wellness Programs to help you achieve your wellbeing goals, 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.
Tuition Assistance to help finance traditional college enrollment toward obtaining an approved degree, many accredited certificate programs, and industry designations.
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.
To find out more about our Total Reward package, see our Total Rewards Brochure. Some of the above benefits may not apply to part-time employees scheduled to work less than 20 hours per week.
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Note: 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 $53,600.00 to $79,900.00. Specific pricing for the role may vary within the above range based on many factors including...
Equal Opportunity Employer - minorities/females/veterans/individuals with disabilities/sexual orientation/gender identity
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