Compliance Associate Compliance Associate …

in Anthony, TX, United States
Permanent, Full time
Be the first to apply
in Anthony, TX, United States
Permanent, Full time
Be the first to apply
Compliance Associate
Compliance Associate

The Prudential El Paso office is seeking an individual experienced in regulatory and compliance issues to join our team as an Associate Compliance Analyst. As our Compliance Analyst you will work within our Corporate Compliance Department supporting both the Compliance Department as well as the Corporate Centers businesses.

This position will primarily support the employee trade monitoring functions within Corporate Centers while leveraging enhanced systems access as a member of the Securities Monitoring Unit.  This individual will deal with highly sensitive information for employees throughout the Company, including the most senior Officers and the Board of Directors.

The ideal candidate should have a high level of knowledge and experience with the regulatory and compliance issues surrounding personal and portfolio trading activity and will be expected to handle issues professionally using appropriate discretion and judgment. Additionally, the Associate, Compliance will provide Compliance support for the Corporate Centers business areas with Anti-bribery/Anti-corruption, Political Law, Gifts and Entertainment, and Conflicts of Interest initiatives.

Personal Trading Program Support:

  • Apply all required monitoring classifications using various applications and tools such as HR reports
  • Review employee disclosures and attestations for conflicts of interest and escalate appropriately
  • Document the outcomes of employee interviews with respect to personal trading violations and perform additional due diligence in conjunction with the various business units around any restricted list matches
  • Carry out additional analysis of trading activity using forensics tools to identify trends among closely related employees, as well as trends in timing regarding market activity and corporate actions
  • Coordinate appropriate business approvals for account exceptions and third-party manager attestations
  • Provide ongoing guidance and support to employees with questions regarding personal trading policies or those who need technical assistance
  • Additional responsibilities and projects are possible, as deemed appropriate by management, including but not limited to violation reporting to the Personal Securities Trading and Mutual Fund Code of Ethics Committee

Anti-Bribery/Anti-Corruption Support:

  • Perform compliance pre-clearance review, risk analysis and processing of expenditure requests for non-US government officials or entities for employees of the Corporate Centers
  • Coordinate with Corporate Centers to periodically review and identify employees who would require Anti-Bribery/Anti-Corruption training, review training reports generated by Global Compliance Education to monitor training completion

Conflicts of Interest Disclosure Support:

  • Supports the Conflicts of Interest Disclosure activity as needed and may participate in special projects

Political Law and Gifts and Entertainment Support:

  • Reviews quarterly PATS population reports and provides Political Law Compliance with classification updates specific to CIO and related businesses, also provides updates on a periodic basis as needed
  • Provides Political Law support to employees within the business with respect to PATS and the submissions of political contributions, and escalates scenarios to Political Law Compliance when necessary
  • Provides G&E and GETS support for the business (i.e. aids employees in submitting GETS forms, editing GETS forms, updating the business rules and thresholds in GETS), and escalates any issues to the G&E compliance team
  • Reviews monthly G&E reports sent to the business unit compliance teams, and takes action as needed
  • Bachelor's degree in Finance, a related discipline or equivalent work experience required
  • Moderate to advanced proficiency in data mining and data modeling to draw insights and make connections using structured and unstructured data is required
  • Prior knowledge of, and experience in, personal trading, FINRA and/or SEC rules is highly desired
  • Exceptional ability to issue-spot, recognize trends and conduct detailed investigative analysis
  • Moderate to advanced proficiency in Microsoft applications with a strong emphasis on Microsoft Excel and PowerPoint
  • Strong interpersonal skills, ability to explain complex policies and procedures to employees at all levels with excellent oral and written communication skills
  • The candidate should be discreet, professional and be able to use sound judgment
  • The candidate should have experience preparing and giving presentations
  • Superior time management skills and attention to detail
  • The candidate must be able to work on several high priority assignments simultaneously
  • Ability to effectively transition between individual contribution and team efforts as needed
  • Three or more years of experience in the intelligence or criminal justice fields within the military
  • Work within the fields of anti-fraud a plus

Primary Location: United States-Texas-El Paso
Work Locations:
Job: Compliance
Organization: Prudential Financial, Inc.
Schedule: Full-time