Analyst, PGIM Global Marketing and Distribution Compliance
Pgim
Review and approve marketing & distribution materials for regulatory compliance
3 days ago ago
$83,500 - $129,500
Intermediate (4-7 years)
Full Time
Newark, NJ
Office Full-Time
Company Size
10,000 Employees
Service Specialisms
Investment Management
Real Estate
Private Equity
Fixed Income
Public Equity
Asset Allocation
Risk Management
Alternative Investments
Sector Specialisms
Industrial
Energy
Infrastructure
Buildings
Residential
Commercial
Water Resources
Heavy Civil
Role
What you would be doing
compliance design
material review
regulatory updates
partner coordination
solution guidance
deliverable management
- 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:
- Provide compliance support to global marketing and distribution activities.
- 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.
- Coordinate with compliance, legal, and business partners to develop solutions and provide business teams guidance on regulatory best practices.
- 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.
What you bring
marketing review
mutual funds
etfs
series 7
series 24
regulatory framework
- 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.
- FINRA Series 7 and 24 are preferred, but not mandatory for consideration. Candidates without these licenses will be given the opportunity to obtain.
- 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).
- Company-funded pension plan.
- 401(k) plan with company match (up to 4%).
- Wellness Programs including up to $1,600 a year for reimbursement of items purchased to support personal wellbeing needs.
- Education Benefit to help finance traditional college enrollment toward obtaining an approved degree and many accredited certificate programs.
- Market competitive base salaries, with a yearly bonus potential at every level.
- 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.
- 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.
- Medical, dental, vision, life insurance, disability insurance, Paid Time Off (PTO), and leave of absences, such as parental and military leave.
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Interview process
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Visa SponsorshipInformation not given or found
Security clearanceInformation not given or found
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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.
- Trust
- Respect
- Equity
- Meritocracy and diversity of thought, perspective, and experience
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.
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
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