Analyst, Compliance Job Listing at Prudential in hartford, CT

Insurance, Finance

This position will be part of the team that has responsibility for providing compliance support and advice to business units within Prudential Retirement that are focused primarily on investment product manufacturing and platform support. The role also has responsibility for, among other things, compliance monitoring, implementation of policies and procedures and forensic testing. Experience with Investment Adviser and/or Investment Company compliance, as well as experience with the securities products of insurance companies, is preferred.

Principal Responsibilities
Provide compliance support to the business unit responsible for the investment platform offered by Prudential Retirement which includes insurance company separate accounts, third-party mutual funds and proprietary mutual funds. Responsibilities include oversight of third party asset managers, investment guideline monitoring for separate accounts, compliance with various separate account policies and procedures, as well as the assisting with the on-boarding of third-party managers and responding to inquires from third party managers and mutual funds, among other things.

Provide compliance support to the business unit that manufactures institutional income solutions offered by Prudential Retirement, including distribution through 3rd parties.

Provide compliance support for the market-timing monitoring program, including ensuring adequate monitoring and guidance to enable timely and effective implementation of the program; adequate resolution of outside Mutual Fund Company and plan inquiries; as well as activity and issue reporting.

Support key unit initiatives such as development and implementation of policies and procedures.

Provide compliance support for new product initiatives and distribution of products through unaffiliated third parties.

Location
The position will be located in either of the following Prudential Retirement office locations: Woodbridge NJ or Hartford CT.

• 1-3 years of relevant Compliance and/or related business experience required.
• Experience with rules and regulations under the Investment Advisers Act of 1940, the Investment Company Act of 1940; other securities laws and insurance laws; and/or the Retirement Services industry is preferred.
• Excellent time management and organizational skills, with an attention to detail.
• Strong written and verbal communication skills.
• Strong information gathering skills with the ability to analyze and draw conclusions from the information gathered.
• Must be self motivated and able to work independently, set priorities, meet deadlines and manage projects.
• Ability to interface with senior management and business partners.
• Strong computer skills.
• Position may involve occasional travel, including travel to PR facilities.