Compliance - Newark, NJ Manager, Compliance

About the position

PGIM Compliance seeks a Compliance Manager to support PGIM, the asset management business of Prudential Financial, Inc.(“PFI”) and a registered investment advisor with the US Securities and Exchange Commission located in Newark, NJ.   The position will report to the Compliance Director and will provide direct, day-to-day compliance support to PGIM‘s Executive team’s business initiatives.

Responsibilities include the following:

  • A significant portion of this position's duties will consist of reviewing, revising, and approving a wide variety of advertisements, sales literature and related marketing materials (including but not limited to reference, training, and educational materials, direct marketing sales materials, print and digital advertising, social media posts and other internal and external communications) in accordance with company policies, FINRA, SEC and global rules & regulations prior to distribution or use
  • Working independently with all levels of associates, while effectively responding to their particular needs, unique situations, short timeframes, and high volume
  • Keep current on industry developments affecting marketing and sales materials and social media, and communicating to and advising internal clients of changes in applicable rules & regulations and their effect on the materials
  • Support of executive team – strong executive presence in managing time-sensitive requests, ability to confidently deliver guidance in a reasoned and professional manner
  • Field day-to-day compliance questions, related in particular to marketing review, gifts & entertainment, political law, anti-bribery, personal securities transactions, and related procedures and other investment advisor-related policies and procedures
  • Assist with ad hoc compliance projects (e.g., metrics, surveillance, corporate initiatives, etc.)
  • Provide training on key policies and new regulatory requirements
  • Create new and maintain existing operating procedures
  • Assist with document production in connection with regulatory exams, inquiries and audits
  • Perform “back up” compliance support to the US registered advisor, PGIM Global Partners

Qualifications

Qualifications

This is a challenging, fast-paced and deadline-driven position, requiring excellent communication, interpersonal and time management skills. The successful candidate must be a motivated professional with a minimum of 3-5 years of regulatory compliance, audit or other relevant experience in an investment advisory firm with:

·         Minimum of 2-3 years’ investment advisory compliance experience

·         Familiarity with applicable SEC and FINRA rules; strong knowledge of the financial markets or a compliance background is highly beneficial

·         Marketing material review experience required

·         Must be able to work within tight deadlines

·         Familiarity of the financial service industry

·         Must be able to build coalitions and consensus, influence, and inspire working teams to reach a common goal across all asset management business unit compliance areas

·         Working knowledge of one or more non-US regulatory regimes a plus

·         Well-organized and highly efficient, possessing excellent verbal and written communication skills and the ability to interact and communicate effectively with all levels of associates, subject matter experts, legal counsel

·         Excellent interpersonal skills and the ability to remain fully engaged with all business clients and work well under pressure

·         Familiarity with issues relating to the Internet, social media and electronic commerce

·         Excellent project management and organizational skills

·         Strong analytical and problem solving skills

·         Strong relationship management skills

·         Must possess a high level of integrity and strong work ethic

·         Bachelor’s degree or equivalent required; Master’s Degree preferred

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 www.prudential.com 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 staffingagencies@prudential.com for more information about doing business with Prudential.

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