Compliance Analyst Job Listing at Prudential in newark, NJ

Insurance, Finance

The Marketing Material Reviewer is responsible for compliance functions with regard to approval of sales literature and advertising material. This position involves marketing material review of new products, reference, training and educational materials, direct marketing sales materials, advertising and other internal and external communications. The review is designed to ensure compliance with regulatory requirements as well as company policies and procedures.  Some reviews may require the preparation of filings with the appropriate regulatory agencies. Responsibilities can include both broad compliance issues (e.g., evaluation of new regulations and research on major issues) and more narrowly defined issues (e.g., responding to internal and external audits).

The successful candidate will have:

• 3 - 5 years of compliance experience
• Knowledge of advertising and marketing regulations relating to mutual funds and investment advisers
• Knowledge of Prudential Investments' mutual funds and managed money business is preferable
• The ability to work independently, manage multiple tasks,  and focus on details
• Sound professional judgment and strong analytical skills
• Strong interpersonal skills with the ability to partner with business personnel at various levels within the organization
• Strong oral and written communication skills
• The Series 7 and 24 Registrations. Otherwise, candidate must be willing to obtain both registrations within 3 months.