- 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...
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
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 firstname.lastname@example.org for more information about doing business with Prudential.Apply Now
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PGIM, Inc. (“PGIM”), the asset...