Compliance Analyst - Trade Surveillance at Prudential
Posted in General Business 12 days ago.
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Location: Newark, New Jersey
As a member of the Compliance organization focused on PGIM Fixed Income, develop and manage compliance analytics to ensure trading practices adhere to the applicable regulations, contractual agreement, and internal policies. Implements compliance oversight procedures with minimal supervision direction. Possesses sound knowledge of the principles practices concepts of the compliance discipline and applies them to their understanding of fixed income trading. Exercises judgment and discretion in the process of identifying and resolving issues. Supports the oversight of critical functions and identifying compliance issue and risks.
· Develop and manage trade analytics to spot potential issues
· Test and manage controls around investment processes
· Identify and research potential issues and escalate as needed
· Maintain thorough records of open and closed issues
· Respond to ad hoc requests for trading information and analytics
· Assist team members in training programs and presentations
· Participate in team projects and initiatives
This is a challenging role for a data-driven and detail oriented analyst who can thrive in a fast-paced environment. The individual must be inquisitive and pro-active.
· Data visualization skills and ability to derive trends from large data sets
· Advanced knowledge of Microsoft Excel and database query skills
· Understanding of fixed income markets
· Strong written and verbal communication skills
· Minimum of two (2) years working with a fixed income investment firm is preferred
· Experience in a trade surveillance team is preferred
· Bachelor’s degree is preferred