Analyst, PGIM Global Marketing and Distribution Compliance at Pgim in Newark, NJ | USD83,500-129,500 | Kablio

Role

Description

compliance review

regulatory guidance

regulation monitoring

global support

program design

stakeholder coordination

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.
Coordinate with compliance, legal, and business partners to develop solutions and provide business teams guidance on regulatory best practices.
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.
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.
Provide compliance support to global marketing and distribution activities.
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:

Requirements

regulatory

series 7

series 24

marketing review

mutual funds

etfs

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).
FINRA Series 7 and 24 are preferred, but not mandatory for consideration. Candidates without these licenses will be given the opportunity to obtain.
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.

Benefits

Market competitive base salaries, with a yearly bonus potential at every level.
Company-funded pension plan.
Education Benefit to help finance traditional college enrollment toward obtaining an approved degree and many accredited certificate programs.
Wellness Programs including up to $1,600 a year for reimbursement of items purchased to support personal wellbeing needs.
Medical, dental, vision, life insurance, disability insurance, Paid Time Off (PTO), and leave of absences, such as parental and military leave.
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.
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.
401(k) plan with company match (up to 4%).

Training + Development

Information not given or found

Interview process

Information not given or found

Visa Sponsorship

Information not given or found

Security clearance

Information not given or found

Company

Overview

Founded as the asset management arm of Prudential Financial, it has grown into one of the world’s largest investment managers.
With a strong presence in over 30 countries, it offers a wide range of investment strategies across equity, fixed income, real estate, and alternative investments.
Its expertise spans from commercial real estate to renewable energy investments, targeting sectors with high growth potential.
It is known for its data-driven approach, leveraging advanced analytics and insights to deliver superior results for its clients.
Its diverse portfolio includes projects in infrastructure, energy, residential and commercial properties, and more.
The real estate division is particularly noted for its global reach, managing significant assets across North America, Europe, and Asia.
The firm is also making significant strides in alternative investments, focusing on private equity, hedge funds, and other non-traditional asset classes.
With a blend of traditional and innovative investment strategies, it delivers tailored solutions designed to meet the needs of institutional investors, pension funds, and individual clients.

Culture + Values

Trust
Respect
Equity
Meritocracy and diversity of thought, perspective, and experience

Environment + Sustainability

Net Zero by 2050

Operational Carbon Emissions Target

Committed to achieving net zero operational carbon emissions by 2050, demonstrating long-term sustainability goals.

50% Emissions Reduction

Building Emissions Target

Aligned with ULI Greenprint goals, aiming to reduce building emissions by half by 2030.

Headquarters LEED Gold certified with rainwater retention, rooftop garden, green walls, and EV charging stations.
Signatory of UN PRI since 2009 and joined GRESB in 2013.
Engaged Verdani Partners for global ESG consulting.

Inclusion & Diversity

58% employees globally

From Under-Represented Groups

A significant portion of the company's global workforce is comprised of individuals from under-represented groups, reflecting a strong commitment to diversity.

29.9% senior roles held by women

Women in Leadership

Women occupy nearly 30% of senior roles globally, indicating progress toward gender parity in leadership positions.

41.8% female employees globally

Gender Representation

Just over 40% of the company's global workforce identifies as female, showcasing a balanced gender distribution.

Five‑pillar DEI strategy

Comprehensive DEI Approach

The company has implemented a five-pillar strategy covering Talent, Culture, Industry, Investing, and Community to advance diversity, equity, and inclusion across all aspects of its operations.

Ron Andrews DEI Scholarship launched in 2020 for students from under‑represented backgrounds
PGIM is among first 25 signatories to USA & Canada DEI Code and has also signed the UK DEI Code

Articles

Role

Description

compliance review

regulatory guidance

regulation monitoring

global support

program design

stakeholder coordination

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.
Coordinate with compliance, legal, and business partners to develop solutions and provide business teams guidance on regulatory best practices.
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.
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.
Provide compliance support to global marketing and distribution activities.
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:

Requirements

regulatory

series 7

series 24

marketing review

mutual funds

etfs

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).
FINRA Series 7 and 24 are preferred, but not mandatory for consideration. Candidates without these licenses will be given the opportunity to obtain.
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.

Benefits

Market competitive base salaries, with a yearly bonus potential at every level.
Company-funded pension plan.
Education Benefit to help finance traditional college enrollment toward obtaining an approved degree and many accredited certificate programs.
Wellness Programs including up to $1,600 a year for reimbursement of items purchased to support personal wellbeing needs.
Medical, dental, vision, life insurance, disability insurance, Paid Time Off (PTO), and leave of absences, such as parental and military leave.
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.
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.
401(k) plan with company match (up to 4%).

Training + Development

Information not given or found

Interview process

Information not given or found

Visa Sponsorship

Information not given or found

Security clearance

Information not given or found

Company

Overview

Founded as the asset management arm of Prudential Financial, it has grown into one of the world’s largest investment managers.
With a strong presence in over 30 countries, it offers a wide range of investment strategies across equity, fixed income, real estate, and alternative investments.
Its expertise spans from commercial real estate to renewable energy investments, targeting sectors with high growth potential.
It is known for its data-driven approach, leveraging advanced analytics and insights to deliver superior results for its clients.
Its diverse portfolio includes projects in infrastructure, energy, residential and commercial properties, and more.
The real estate division is particularly noted for its global reach, managing significant assets across North America, Europe, and Asia.
The firm is also making significant strides in alternative investments, focusing on private equity, hedge funds, and other non-traditional asset classes.
With a blend of traditional and innovative investment strategies, it delivers tailored solutions designed to meet the needs of institutional investors, pension funds, and individual clients.

Culture + Values

Trust
Respect
Equity
Meritocracy and diversity of thought, perspective, and experience

Environment + Sustainability

Net Zero by 2050

Operational Carbon Emissions Target

Committed to achieving net zero operational carbon emissions by 2050, demonstrating long-term sustainability goals.

50% Emissions Reduction

Building Emissions Target

Aligned with ULI Greenprint goals, aiming to reduce building emissions by half by 2030.

Headquarters LEED Gold certified with rainwater retention, rooftop garden, green walls, and EV charging stations.
Signatory of UN PRI since 2009 and joined GRESB in 2013.
Engaged Verdani Partners for global ESG consulting.

Inclusion & Diversity

58% employees globally

From Under-Represented Groups

A significant portion of the company's global workforce is comprised of individuals from under-represented groups, reflecting a strong commitment to diversity.

29.9% senior roles held by women

Women in Leadership

Women occupy nearly 30% of senior roles globally, indicating progress toward gender parity in leadership positions.

41.8% female employees globally

Gender Representation

Just over 40% of the company's global workforce identifies as female, showcasing a balanced gender distribution.

Five‑pillar DEI strategy

Comprehensive DEI Approach

The company has implemented a five-pillar strategy covering Talent, Culture, Industry, Investing, and Community to advance diversity, equity, and inclusion across all aspects of its operations.

Ron Andrews DEI Scholarship launched in 2020 for students from under‑represented backgrounds
PGIM is among first 25 signatories to USA & Canada DEI Code and has also signed the UK DEI Code

Articles