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Vice President, Compliance

Prudential


Location:
Newark, NJ
Date:
11/17/2017
2017-11-172017-12-16
Job Code:
434438
Prudential
Apply on the Company Site
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Job Details

Position Title: Vice President, Compliance
Job Code: 434438
Job Location: New Jersey-Newark
Description:

 

PGIM Fixed Income, a division of PGIM Inc., an SEC-registered investment adviser and a business unit of Prudential Financial, is seeking a senior compliance professional knowledgeable in Fixed Income trading, capital markets, investment advisory and investment company issues to assist its Chief Compliance Officer in overseeing a full range of compliance matters that arise in connection with our asset management activities, with focus on trading and investments.  PGIM Fixed Income has over $675 billion in assets under management as of June 30, 2017, 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.  Qualified candidates will be expected to be thoroughly knowledgeable about applicable SEC regulations and associated policies and procedures necessary to support an investment adviser compliance program. 

 

The candidate will report to the Chief Compliance Officer of PGIM Fixed Income. 

Principal Responsibilities:

 

  • Promote Prudential's reputation for ethics and integrity.
  • Manage small trading and investment focused compliance team
  • Supervise relevant controls, market-related compliance activity, training, implementing new policies and procedures, and relevant forensic testing. 
  • Work with Trade desks to ensure that appropriate regulatory processes and controls are established and documented.
  • Monitor established compliance processes and controls and recommend and implement enhancements.
  • Train staff and relevant business partners and reinforce all compliance-related communications.
  • Administer and develop reports.

Candidates should exhibit many of the following attributes:

  • Ten (10) plus years of regulatory or compliance related experience, with demonstrated expertise and management in Fixed Income Trading, Financial Products and Capital Markets
  • Senior level communication skills, including trading issues identification and management
  • Experience identifying risks and developing appropriate control processes,
  • Experience with trading regulatory environment and related risks,
  • Familiarity with Aladdin, order management systems and similar systems, including development and implementation of automated control processes,
  • Demonstrated ability to manage conflicting priorities with varying deadlines,
  • Bachelor's degree plus J.D. or professional designation (such as a CFA) is a plus,
  • Advanced knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and  Securities Exchange Act of 1934 is required,
  • Experience with other rules and regulations under ERISA, CFTC and FINRA 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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