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Compliance Associate

Company: Prudential Financial, Inc.
Location: El Paso
Posted on: December 5, 2019

Job Description:

Compliance Associate - Prudential Financial _ga Cookie Value Careers-Job Search-Job DetailsJob Description - Prudential Financial Human Resources WT_FPC Cookie Value Skip to main content (Press Enter). Go to ************** - Continue an Application - Students - Talent Acquisition Partners - LinkedIn Opens in new window - Glassdoor Opens in new window - Facebook Opens in new window - Twitter Opens in new window Prudential Careers - Overview - A Focus on Talent - About the Company - Working at Prudential - Find a Career - Stories - Continue an Application - Students - Talent Acquisition Partners - LinkedIn Opens in new window - Glassdoor Opens in new window - Facebook Opens in new window - Twitter Opens in new window - Go to Prudential.comMenu Close Prudential Careers Search for Jobs Start of main content BACK TO SEARCH RESULTS Compliance - El Paso, TX Compliance Associate - Job Details - Related Jobs - Resources About the position The Prudential El Paso office is seeking an individual experienced in regulatory and compliance issues to join our team as an Compliance Associate. As our Compliance Associate 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 Compliance Associate 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. Responsibilities: 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 Qualifications - 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 - Work within the fields of anti-fraud a plus Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America. Leveraging its heritage of life insurance and asset management expertise, Prudential is focused on helping individual and institutional customers grow and protect their wealth. The company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset management, and real estate services. We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit ****************** to learn more about our values, our history and our brand. Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law. Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at ******************************* for more information about doing business with Prudential. Apply Now Email this Job Apply Now Email this Job Resources for Applicants - Tips for Success - Finding the Right Fit - Our Commitment to Diversity Apply Now Share this Job Related Jobs Compliance AnalystCompliance - El Paso, TX Full Time Position - Job No: EP 0005TView Job Description VP, Operations - Corporate ComplianceCompliance - Newark, NJ Full Time Position - Job No: COM00083View Job Description Compliance Surveillance Manager (On Site or Virtual)Compliance - Newark, NJ - Dallas, TX - Houston, TX - Dresher, PA - Jacksonville, FL - San Francisco, CA - Plymouth, MN - Hartford, CT Full Time Position - Job No: PRU000WSView Job Description VP, Fixed Income ComplianceCompliance - Newark, NJ Full Time Position - Job No: PGI000ADView Job DescriptionSearch All Jobs Email this Job mailto:?subject=Prudential%20Careers & body=I%20thought%20you%20might%20be%20interested%20in%20this%20job.%20%0A%0AXXXX Prudential Careers Go to Prudential Prudential Careers - Overview homepage - A Focus on Talent - About the Company - Working at Prudential - Find a Career - Internships - Talent Acquisition Partners Connect on Social Media - LinkedIn Opens in new window - Glassdoor Opens in new window - Facebook Opens in new window - Twitter Opens in new window - Terms & Conditions - Accessibility Help - Privacy Center - Online Privacy Statement - Business Integrity - Social Responsibility - Diversity and Inclusion Warning: Misuse of Prudential name in fraud schemes. The views expressed by each employee is based on his or her personal experiences and opinions. An individual's own abilities, dedication, and achievements will have a direct impact on his or her success at Prudential, potential for professional growth, and opportunities for other careers at Prudential and its affiliates. Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law. The Prudential Insurance Company of America, Newark, NJ and its affiliates. Prudential Financial, its affiliates, and their financial professionals do not render tax or legal advice. Please consult with your tax and legal advisors regarding your personal circumstances. Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom. Pruco Life Insurance Company, an Arizona company - California COA # 3637. The Prudential Insurance Company of America - California COA # 1179. Prudential Retirement Insurance and Annuity Company - California COA # 08003 Securities and Insurance Products: Not Insured by FDIC or any Federal Government Agency - May Lose Value - Not a Deposit of or Guaranteed by the Bank or any Bank Affiliate EEO IS THE LAWPDF file downloads or opens in a new window. People with DisabilitiesOpens in a new window Prudential is an Employer that participates in E-Verify. See the E-Verify notice.PDF file downloads or opens in a new window. Learn about your right to work.PDF file downloads or opens in a new window. Template: *******-00001-00 2016 Prudential Financial, Inc. and its related entities.

Keywords: Prudential Financial, Inc., El Paso , Compliance Associate, Other , El Paso, Texas

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