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Compliance - Newark, NJ Compliance Manager Investment Guidelines

About the position


Job summary: Manager, Investment Guidelines


Job Grade: 09P



PGIM Fixed Income, a division of PGIM Inc., an SEC-registered investment adviser and a business unit of Prudential Financial, Inc. is seeking a candidate 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 role is a Manager on the Investment Guidelines Team, which is embedded directly in the PGIM Fixed Income business and interacts with Portfolio Management, Client Services, and Operations on a daily basis. The Investment Guidelines Team is responsible for ensuring that PGIM Fixed Income portfolios are managed in accordance with applicable regulatory, internal, and contractual requirements. The Investment Guidelines Team utilizes BlackRock Solution’s Aladdin investment management platform as the primary compliance monitoring system. This is a challenging, fast-paced, and deadline-driven environment, which requires excellent interpersonal and time management skills.



Responsibilities are dynamic and may include the following:


  • Oversee the coding of regulatory, internal, and contractual rules into the Aladdin investment management platform

  • 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, reporting obligations, etc) and on other PGIM Fixed Income initiatives

  • Act as an escalation point for staff on trade date and overnight monitoring

  • Recommend system enhancements and operational efficiencies, and drive transformation projects


Qualifications


Qualifications include:


  • 5+ years of experience with fixed income

  • Experience with BlackRock Solution’s Aladdin IS A MUST

  • 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

  • Current management/supervisory experience required

  • Strong written/verbal communication and analytical skills



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.