COMPLIANCE ANALYST - NJ (Newark)
Posted 04/15/08
Closes:
Salary:
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. 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, real estate brokerage franchises, relocation services and, through a joint venture, retail securities brokerage services. For more information, visit www.prudential.com
The Compliance Analyst is a member of the team assisting the Director of Compliance in providing compliance support and oversight for Prudential International Investments (PII) and the Global Commodities Group (GCG). In addition to its Newark-based operations, PII operates businesses, or has a joint venture presence, in Korea, Taiwan, Japan, Mexico, the United Kingdom, Germany, Italy, and India. GCG has an international presence, with offices located in New York, Chicago, Minneapolis, Kansas City, the United Kingdom, and Germany. The International Investments Division compliance team consists of a 7-person staff in Newark, including the Compliance Analyst, and 28 in-country compliance professionals. The Compliance Analyst will assist as liasion on technical and administrative matters. Specific responsibilities include:
· Assist in the review of marketing material to ensure consistency with regulatory requirements and the Company’s standards, policies and procedures relating to sales supervision, advertising, trademarks, copyrights, branding, website sales and marketing, external communications, and press releases. Coordinate reviews as warranted with in-country compliance units as wells as applicable investment adviser compliance units.
· Support design and implementation of compliant processes for sales and marketing activities surrounding our proprietary offshore product and local proprietary products. This includes new product launches, media events/ press conferences (partner with corporate communications), development of new marketing material, and roadshows (partner with appropriate business groups).
· Provide support to the Sales, Marketing, Client Services and Product Development units.
· Coordinate with in-country compliance officers on the collection of information for central corporate use, including comments on proposed company-wide policies, financial reports, regulatory matters status, and other issues requiring global input.
· Lead coordination role for various global compliance projects, as needed.
JOB REQUIREMENTS: Required Skills & Experience
· Bachelors degree preferred
· 3-5 years of experience in the investment management compliance and/or legal experience; experience in the review of institutional marketing material a plus
· In-depth knowledge of investment adviser regulations, a general understanding of advertising and sales literature rules and requirements (NASD Conduct Rule, NFA Compliance Rules, and SEC advertising rules and guidelines) a plus; however willing to train
· Proven project management skills
· Organizational skills including attention to detail and to deadlines; experience with incorporating multi-national/multi-cultural perspectives into work products a plus
· Ability to communicate effectively, strong writing and presentation skills
· Good problem solving and analytical skills
· Strong interpersonal skills
· Willingness to conduct international phone calls outside regular U.S. business hours, as needed
Prudential is an Equal Opportunity/Affirmative Action Employer and is committed to diversity in its workforce.
To Apply for this position, please vist:
http://prudential.contacthr.com/10609617
Contact Information
See webpage: http://prudential.contacthr.com/10609617
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