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Manager, Compliance (PGIM Real Estate)

Prudential


Location:
Madison, NJ
Date:
01/16/2018
2018-01-162018-02-14
Job Code:
448858
Prudential
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Job Details

Position Title: Manager, Compliance (PGIM Real Estate)
Job Code: 448858
Job Location: New Jersey-Madison
Description:

PGIM Real Estate (PGIM RE) is the real estate investment management business of Prudential Financial. PGIM RE's specialized operating units offer a broad range of investment opportunities and investment management services in the United States, Europe, Asia, and Latin America. As of September 30, 2017, PGIM RE managed over $69 billion in gross real estate assets ($50.5 billion net) on behalf of clients worldwide and ranks among the largest real estate investment managers.

 

The Compliance Manager is responsible for coordinating regulatory filings and provides oversight of other processes that are governed by the firm’s various regulatory affiliations. The position will work closely with several departments within the organization and liaise with a central compliance team in the coordination of data for purposes of filings such as Form ADV, Form PF and FINRA-required filings.

 

In addition to managing two staff Analysts, the Compliance Manager is responsible for ensuring that the activities of PGIM RE associates are in accordance with Prudential's policies governing such areas of individual conduct as personal securities trading; gifts, travel, and entertainment; insider information; and conflicts of interest. Additionally, the Compliance Manager will also serve as a general resource for providing guidance on regulatory issues relating to the asset management function.

 

Responsibilities:

  • Supervise the review and approval of marketing materials
  • Manage the relationship between Compliance and Client Services
  • Oversee administration of PGIM RE’s broker-dealer responsibilities
  • Manage administration of regulatory filings and periodic certifications including Form ADV, Form PF, DOL Form LM10, among others
  • Review ongoing control functions
  • Conduct new client and counterparty OFAC reviews
  • Review of G&E & charitable contributions in the context of FCPA, PERS, ERISA
  • Review status of regulatory exams and inquiries
  • Perform annual compliance training and as-needed targeted training initiatives
  • Manage MNPI process
  • Perform periodic forensic testing and analysis (such as email review, etc.)


  • Bachelor's degree preferred
  • Four or more years of experience in a compliance, regulatory, audit or a similar control function
  • Experience directly managing staff (performance reviews, development, coaching, etc)
  • Experience reviewing advertising, marketing or sales materials; or relevant equivalent experience
  • Knowledge of federal and state securities regulations as they pertain to investment adviser, private placement and broker-dealer communications. 
  • Knowledge of private funds, alternative assets classes, and/or real estate compliance beneficial
  • Well-developed organizational skills and highly efficient process orientation
  • Knowledge of the laws involved in the regulation of securities including the Securities Act of 1933, Investment Company Act of 1940, Dodd-Frank Act of 2010
  • Clear and concise verbal and written communication skills and the ability to interact and communicate effectively with all levels of PREI associates, subject matter experts, legal counsel, and regulatory agencies
  • Excellent interpersonal skills and the ability to remain fully engaged with all business clients and work well under pressure
  • Highly motivated and able to take initiative
  • Superb project and time management skills
  • Ability to assess, investigate and interpret issues
  • FINRA Series 7 and 24 licenses 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 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.
Job Function: Compliance
Schedule: Full-time
Apply on the Company Site
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