26 days old

Compliance Analyst - COM0008K

Newark, NJ
  • Job Code
Primary Location United States-New Jersey-Newark (NJ)
Travel:Yes, 10 % of the Time



Compliance Analyst (11P)




The Compliance Testing Unit (CTU) is a centralized unit within the Corporate Compliance Risk Management function.  CTU executes testing focused on Prudentials regulated entities, specifically regulatory requirements related to Branch Office Inspections, Separate Accounts and Anti-Money Laundering (AML).  The regulated entities include securities broker-dealers, as well as registered investment companies and investment advisers.  CTU utilizes a risk-based approach to develop the scope of its reviews, partnering with chief compliance officers and control partners, and follows a consistent methodology for execution of testing.  The successful candidate will report to a Manager within CTU.  Primary responsibilities will include:



  • Assisting in the planning process for inspections and reviews by gathering prior inspection/review information, requesting and reviewing current documentation and preparing workpapers
  • Executing inspections and reviews in accordance with the CTU testing methodology and established timelines. This involves meeting with business management to understand key processes and controls, developing and executing test procedures and documenting test results and identified control gaps   
  • Collaborating with CTU team members, control partners and business management throughout the planning and testing process



  • 2 years of compliance, audit or other risk management experience

  • Strong written and oral communication skills
  • Strong analytical, organizational and problem-solving skills
  • Knowledge of AML, broker-dealer, investment adviser and/or mutual fund regulations preferred
  • Ability to work independently, as well as in a team and manage multiple priorities
  • Experience working with medium to large sized financial services firms with diverse business lines is preferred
  • BA/BS degree is required
  • FINRA registration (Series 6 or 7) is a plus


Primary Location for this position can be Newark, NJ or Dresher, PA.  This position will require overnight travel of approximately 10-15%, as well as occasional travel to Prudentials tri-state locations (NJ - Newark/Roseland, CT Hartford/Shelton, PA Dresher/Scranton) for execution of testing.

@!*!Prudential is a multinational financial services leader with operations in the United States Asia Europe and Latin America. Leveraging its heritage of life insurance and asset management expertise Prudential is focused on helping individual and institutional customers grow and protect their wealth. The companys well-known Rock symbol is an icon of strength stability expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services including life insurance annuities retirement-related services mutual funds asset management and real estate services. For more information please visit www.prudential.com.

Prudential is not accepting unsolicited resumes from search firms for this open position unless contracted with Staffing. Agencies must work with Staffing as the primary point of contact and follow the Prudential application process to be considered for business. All resumes submitted by search firms to any employee at Prudential via-email Internet or directly to hiring managers in any form without a valid written search agreement in place for that position will be deemed the sole property of Prudential and no fee will be paid in the event the candidate is hired by Prudential.
Note: Any search agreement entered into with Prudential before January 2004 is null and void. Search firms are essential to the recruitment and staffing efforts at Prudential and we value the partnerships we have built with our preferred vendors. Prudential has established and regularly maintains a preferred vendor list and even preferred vendors need to have a written search agreement signed by the Director Recruiting Programs Staffing at Prudential in place for the specific position in order for a fee to be paid for any candidate referrals.
Job Posting:@false


Posted: 2020-04-28 Expires: 2020-05-28

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Compliance Analyst - COM0008K

Newark, NJ

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