PGIM is the principal asset management business of Prudential Financial, and they are seeking an Analyst for their Global Marketing and Distribution Compliance team. The role involves supporting compliance efforts related to marketing and distribution activities, ensuring adherence to regulatory requirements, and collaborating with various teams to enhance compliance processes.
Responsibilities
- 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 provide business teams 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 applicable rules and interpretive guidance
- Demonstrate a solution-oriented mindset, effectively collaborate with business partners and other teams, provide timely, quality work product, meet manager standards and deadlines; and assist in managing the department’s deliverables
Skills
- Marketing and communication review experience required, particularly reviews of adviser and separate account materials. Prior experience with mutual funds, ETFs, non-registered products, CITs, UCITs, and private funds a plus
- Demonstrated understanding of the regulatory framework for the marketing and distribution of separate accounts and other investment products (e.g., mutual funds, ETFs, 3c7, collective funds)
- Intellectual curiosity, business acumen, and be solutions oriented
- Ownership mindset and is comfortable navigating uncertainty
- FINRA Series 7 and 24 are preferred, but not mandatory for consideration. Candidates without these licenses will be given the opportunity to obtain
Benefits
- 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.
Company Overview
PGIM is a money manager whose clients rely on their risk management expertise, intellectual capital, and innovative solutions. It is a sub-organization of Prudential Financial. It was founded in 1875, and is headquartered in Newark, New Jersey, USA, with a workforce of 1001-5000 employees. Its website is https://www.pgim.com.
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