17 days old

Compliance Analyst - PGI000C9

Newark, NJ
  • Job Code
Primary Location United States-New Jersey-Newark (NJ)

PGIM, Inc. (PGIM) is currently seeking a qualified candidate to fill an Analyst vacancy (10P), supporting PGIMs Real Estate business in Newark, New Jersey.   PGIM is the asset management business of Prudential, Inc. and manages approximately $1.2 trillion in client assets, as of December 31, 2019, across multiple strategies.  PGIM Real Estate is the global real estate investment management and real estate lending unit of PGIM, with gross aggregate assets under management or administration of $179.2 billion as of December 31, 2019.  Headquartered in Madison and Newark, New Jersey, PGIMs Real Estate units have offices across the United States as well as non-US locations in Frankfurt, London, Luxembourg, Munich, Paris, Mexico City, Hong Kong, Seoul, Singapore, Sydney and Tokyo.


PGIM Compliance is responsible for ensuring that all portfolios managed by PGIM comply with applicable regulatory laws and expectations, while also conforming with Prudential's policies and contractual requirements.  Compliance is tasked with understanding applicable laws governing each business and constructing monitoring & testing processes to ensure compliance. Compliance also serves as a general resource for resolving legal and interpretive issues relating to the asset management function, collaborating with both legal & risk functions.

This vacancy will support PGIMs Real Estate compliance team, reporting to the Compliance Director largely responsible for the firms lending activities. The incumbent will provide day-to-day compliance support to PGIM Real Estate, in its endeavors to provide financing opportunities to the commercial real estate market, operating in the US and 8 international markets, broken into several boutique sub-businesses as follows: PGIM Real Estates Agriculture offers financing options and seeks equity opportunities in the farming and agribusiness markets.  Prudential Asset Resources operates as PGIM Real Estates in-house loan servicing business. The business also maintains a leading agency debt business through licensing agreements with Government Sponsored Entities (GSE), with production consistently in the top-ten nationally for both Fannie Mae & Freddie Mac. 


Principal Job Responsibilities:       

This position provides direct, day-to-day compliance support to PGIM Real Estate.  This position requires strong compliance and regulatory knowledge, attention to detail and solid project management skills are essential.  The position will assist in monitoring business activities to ensure they are performed in compliance with company policies, securities laws, and regulatory oversight by agencies including the SEC, FINRA, Fannie Mae, Freddie Mac, HUD Inspector General and various state and local regulators.


The successful candidate must:

  • Promote, protect and set the tone to reflect the Companys reputation for ethics, integrity and honesty in all dealings. 

  • Work with all levels of PGIM Real Estate management to ensure appropriate regulatory processes and controls are established and documented within the areas of responsibility. 

  • Monitor the effectiveness of established compliance processes and controls and recommend and implement enhancements.

  • Assist management with identifying and resolving regulatory issues.

  • Assist regulatory, auditors and business unit management with regulatory exams and inquiries.

 Specific ongoing responsibilities for this position include:

  • Provide guidance on investment adviser requirements to business unit employees;

  • Complete daily elements of the business units compliance program;

  • Review outside business activities and private placements;

  • Review and approval of institutional marketing material;

  • Monitor the approved social media program;

  • Review and develop policies and procedures relating to Government Sponsored Entities (GSE) including Fannie Mae, Freddie Mac and HUD. 

  • Conduct ongoing monitoring and testing of political contributions, G&E, personal trading, marketing material, information barriers and social media;

  • Review, approval and reporting of gifts and entertainment itemsincluding FCPA matters;

  • Monitor, research and resolve personal and firm trade issues;

  • Train, monitor and document elements critical to existing information barriers;

  • Create and deliver customized compliance training; and,

  • Support of global associates throughout the United States, Japan and Europe.


Required Skills & Experience:

  • Minimum 3 years of compliance/risk/audit or comparable experience with a financial services company or regulatory experience preferred.

  • BA/BS Degree, business discipline preferred.  Advanced degree a plus.

  • Excellent judgment and ability to handle highly confidential business matters in a fair and consistent manner.

  • Strong relationship management skills, and the ability to communicate effectively with senior management.

  • Excellent analytical skills including ability to learn new legal frameworks quickly and make decisions and respond to issues promptly under pressure.

  • Candidate should possess strong research, analytical and practical problem-solving skills, and have excellent oral and written communication skills.

  • Excellent organizational & project-management skills, and ability to manage daily transactional queries along with ongoing projects.   

  • Some knowledgeable of the various regulatory entities governing the RE Debt business, including the SEC, FINRA, HUD Inspector General, CFPB, FHFA and related state & local entities would be helpful.

  • Knowledge of Fannie Mae, Freddie Mac and HUD transactional guidelines is a plus.

  • Knowledge of mortgage servicing regulations, including MSRs is desirable.

  • A basic understanding of agricultural institutional finance would be helpful.

  • Ability to understand complex transactions and explain compliance issues clearly and concisely, CMBS knowledge is a plus. 



    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 company's 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.

    We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit www.prudential.com to learn more about our values, our history and our brand.

    Prudential and its affiliates, Newark, New Jersey are Equal Opportunity/Affirmative Action Employers and are committed to diversity in our workforce.

    Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at staffingagencies@prudential.com for more information about doing business with Prudential.


    Job Function


    Primary Location

     United States-New Jersey-Newark



@!*!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: 2020-06-16 Expires: 2020-07-16

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Compliance Analyst - PGI000C9

Newark, NJ

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