Compliance - Newark, NJ Manager, Compliance Guidelines

About the position

PGIM Fixed Income, a division of PGIM Inc., an SEC-registered investment adviser and a business unit of Prudential Financial, Inc. is seeking a senior compliance professional knowledgeable in fixed income compliance technology. PGIM Fixed Income has over $700 billion in assets under management, with a broad array of fixed income strategies and client types including institutional separate accounts, sub-advised mutual funds, CLOs, offshore commingled and separate client accounts. PGIM Fixed Income has a strong commitment to its customers, including mutual fund investors, corporations, public retirement funds, Taft-Hartley plans, sovereign wealth funds, insurance companies, foundations, and endowments.

This position is on the Guideline Monitoring team which is a critical unit that provides oversight of PGIM Fixed Income portfolios using BlackRock Solutions’ Aladdin compliance system. This position has significant visibility with senior management and direct interaction with Portfolio Management, Client Services and Operations. Qualified candidates will be expected to be familiar with regulation under the Investment Advisers Act, Investment Company Act, and ERISA.

Responsibilities are dynamic and may include:

  • Oversee the coding of regulatory, internal, and contractual requirements into the Aladdin compliance system
  • Supervise and train staff on system tools and processes
  • Work with Client Services, Portfolio Management, and other stakeholders across the entire portfolio lifecycle (onboarding, ongoing operation, etc)
  • Act as an escalation point for staff on pre-trade and post-trade monitoring
  • Recommend system enhancements and operational efficiencies
  • Supervise client certifications and ad hoc reporting obligations
  • Oversee trade error analysis, resolution, documentation, and internal reporting

Qualifications

5+ years of experience with fixed income

Strong technology and analytical skills; Experience with Aladdin system strongly preferred

Bachelor’s degree; Advanced degree or professional designation (e.g. CFA) is a plus

Candidates must be able to work independently and possess a high level of integrity

Strong written and verbal communication skills

Excellent time management skills with attention to detail

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.

Apply Now

Join PrudentialApply for this position

Please fill out the online application and upload your supporting materials. We appreciate the time and effort you put into your application.

Apply Now

Save or Send Email this Job

Get a link to the job and the full description that you can save for later or share with someone you think might be a good fit.

Get Link to this job description in an email to save for yourself or send

Related Job Openings

Compliance Testing and Reporting Associate

Compliance - Scranton, PA | Iselin, NJ | Dubuque, IA
  • Full Time Position
  • Job No: PLA0007Y
We are looking for individuals who are self-starters, dependable, take initiative and have the flexibility to work in a faced pace environment. Team members are responsible for independent management of an assigned book of business supporting Compliance Testing and 5500 Services.
The expertise we are looking for you to bring:
  • Understand, absorb, and apply complex concepts related to Compliance Testing and 5500 Services
  • Capable of shaping the customer experience while producing high quality output
  • Collaboration with business partners to provide consultation...
View Job Details

Manager, Sales Administration (Centralized Review Team)

Compliance - Shelton, CT | Dresher, PA
  • Full Time Position
  • Job No: BU 0000V

This position plays a key role ensuring that ISG Sales and Distribution has proper oversight and is in compliance with Prudential’s risk mitigation policies. This role is responsible for the team reviewing emails, instant messages, and social media for all registered representatives within Prudential Annuities as well as second level review and escalation for Prudential Individual Life. In addition, this role partners closely with Compliance on our non-cash compensation policy and tracking as well as business continuity, records retention, and liaison with Audit...

View Job Details

Compliance Director (Marketing Review)

Compliance - Newark, NJ
  • Full Time Position
  • Job No: PGI00065

This position is for a Director reporting to the Deputy Chief Compliance Officer (CCO) of PGIM Investments, a mutual fund company based in Newark, NJ and with operations in London, England. The Director will support the Deputy CCO in executing on Compliance department objectives, with a focus on leading cross-border marketing review initiatives as the firm develops its global product suite and distribution capabilities. Candidate must have previous relevant experience with cross-border fund and adviser marketing materials, preferably while supporting a registered...

View Job Details

Senior Compliance Associate

Compliance - Newark, NJ
  • Full Time Position
  • Job No: PGI00064

Prudential Financial companies serve individual and institutional customers worldwide and include The Prudential Insurance Company of America, one of the largest life insurance companies in the United States. These companies offer a variety of products and services, including life insurance, mutual funds, annuities, pension and retirement-related services and administration, asset management, banking and trust services, real estate brokerage franchises, and relocation services. For more information, visit www.prudential.com.

PGIM, Inc. (“PGIM”), the asset...

View Job Details
Search All Prudential Jobs