PGIM
Analyst, PGIM Global Marketing and Distribution Compliance
PGIM, Newark, New Jersey, us, 07175
Analyst, PGIM Global Marketing and Distribution Compliance
Join us to apply for the
Analyst, PGIM Global Marketing and Distribution Compliance
role at
PGIM .
Job Overview PGIM Global Marketing and Distribution Compliance is seeking an Analyst to be 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. PGIM is the principal asset management business of Prudential Financial.
As a compliance professional, you will support the compliance team to transform and evolve the existing compliance program through the ongoing development of efficient, consistent, and effective policies and programs. This includes the development of compliance culture, awareness, training, monitoring and testing, reporting and metrics, maintenance of books and records, and documentation.
The role will primarily focus on supporting marketing and distribution activities for affiliated business teams with the review and approval of marketing materials and other advertising collateral promoting the PGIM business and developing enhanced processes within a centralized team. Additional focus will be to support and partner with sales and product management teams around sales practices to provide proactive regulatory guidance on initiatives, product development, fund launches and brand campaigns. The role also involves supporting strategic initiatives across PGIM and broader corporate compliance mandates.
The current employee work arrangement for this position is hybrid or remote, requiring you to be on-site on a recurring basis as determined by your business. Your manager will provide additional details on the specific number of days you are expected to be on-site.
Responsibilities
Design and maintain 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—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.
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, collaborate effectively with business partners and other teams, produce timely, quality work, meet manager standards and deadlines, and assist in managing the department’s deliverables.
Qualifications
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 is 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, 3(c)(7), collective funds).
FINRA Series 7 and 24 licenses preferred, but not mandatory for consideration. Candidates without these licenses will be given the opportunity to obtain them.
Intellectual curiosity, business acumen, solution orientation, ownership mindset, and comfort navigating uncertainty.
What We Offer 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 $83,500 to $129,500. Specific pricing may vary within the range based on geography, experience, and skills.
Market‑competitive base salaries, with potential for a yearly bonus at each level.
Medical, dental, vision, life insurance, disability insurance, Paid Time Off (PTO), and leave of absences, including 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 wellness reimbursements.
Work/Life resources to support topics such as parenting, housing, senior care, finances, pets, education, and career development.
Education benefit to finance traditional college enrollment and accredited certificate programs.
Employee Stock Purchase Plan: Shares can be purchased at 85% of the lower of two prices after one year of service.
Eligibility for a discretionary annual incentive program, subject to program rules and performance.
Employment Information Seniority Level: Entry level Employment Type: Full‑time Job Function: Marketing and Sales Location: Newark, N.J.
Equal Opportunity Employer 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.
If you need an accommodation to complete the application process, please email accommodations.hw@prudential.com.
If you are experiencing a technical issue with your application or an assessment, please email careers.technicalsupport@prudential.com to request assistance.
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Analyst, PGIM Global Marketing and Distribution Compliance
role at
PGIM .
Job Overview PGIM Global Marketing and Distribution Compliance is seeking an Analyst to be 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. PGIM is the principal asset management business of Prudential Financial.
As a compliance professional, you will support the compliance team to transform and evolve the existing compliance program through the ongoing development of efficient, consistent, and effective policies and programs. This includes the development of compliance culture, awareness, training, monitoring and testing, reporting and metrics, maintenance of books and records, and documentation.
The role will primarily focus on supporting marketing and distribution activities for affiliated business teams with the review and approval of marketing materials and other advertising collateral promoting the PGIM business and developing enhanced processes within a centralized team. Additional focus will be to support and partner with sales and product management teams around sales practices to provide proactive regulatory guidance on initiatives, product development, fund launches and brand campaigns. The role also involves supporting strategic initiatives across PGIM and broader corporate compliance mandates.
The current employee work arrangement for this position is hybrid or remote, requiring you to be on-site on a recurring basis as determined by your business. Your manager will provide additional details on the specific number of days you are expected to be on-site.
Responsibilities
Design and maintain 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—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.
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, collaborate effectively with business partners and other teams, produce timely, quality work, meet manager standards and deadlines, and assist in managing the department’s deliverables.
Qualifications
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 is 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, 3(c)(7), collective funds).
FINRA Series 7 and 24 licenses preferred, but not mandatory for consideration. Candidates without these licenses will be given the opportunity to obtain them.
Intellectual curiosity, business acumen, solution orientation, ownership mindset, and comfort navigating uncertainty.
What We Offer 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 $83,500 to $129,500. Specific pricing may vary within the range based on geography, experience, and skills.
Market‑competitive base salaries, with potential for a yearly bonus at each level.
Medical, dental, vision, life insurance, disability insurance, Paid Time Off (PTO), and leave of absences, including 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 wellness reimbursements.
Work/Life resources to support topics such as parenting, housing, senior care, finances, pets, education, and career development.
Education benefit to finance traditional college enrollment and accredited certificate programs.
Employee Stock Purchase Plan: Shares can be purchased at 85% of the lower of two prices after one year of service.
Eligibility for a discretionary annual incentive program, subject to program rules and performance.
Employment Information Seniority Level: Entry level Employment Type: Full‑time Job Function: Marketing and Sales Location: Newark, N.J.
Equal Opportunity Employer 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.
If you need an accommodation to complete the application process, please email accommodations.hw@prudential.com.
If you are experiencing a technical issue with your application or an assessment, please email careers.technicalsupport@prudential.com to request assistance.
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