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Vice President, Compliance

Prudential


Location:
Newark, NJ
Date:
12/14/2017
2017-12-142018-01-12
Job Code:
436978
Prudential
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Job Details

Position Title: Vice President, Compliance
Job Code: 436978
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, Inc. is seeking a senior compliance professional knowledgeable in Fixed Income compliance technology to assist its focus on guidelines and contractual compliance.  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 familiar with regulation under the Investment Advisers Act, Investment Company Act and ERISA, while thoroughly knowledgeable about BlackRock’s Aladdin System and BlackRock Query Language.

 

The position reports to the Chief Compliance Officer of PGIM Fixed Income.  The incumbent will lead the investment guideline monitoring team which is a critical unit that monitors accounts by completing trade compliance monitoring using BlackRock's Aladdin compliance system. This position has significant visibility with senior management and direct interaction with portfolio management, Client Services and operations.

 

Responsibilities are dynamic, but will include:

 

  • Working with Client Services, onboarding and the legal team to review contractual guidelines for both current and prospective clients;
  • Confirming that client’s desired investment guidelines can be translated into systemic or manual controls;
  • Managing and training staff in BlackRock's various Aladdin applications, trade flow process and data environment;
  • Leading projects to improve Guideline process and scalability
  • Overseeing over the translation and coding of compliance rules into the system; 
  • Recommending rule and system enhancements;
  • Recommending operational efficiencies;
  • Supporting internal and external audits;
  • Coordinating fixed income guideline activities with staff in international locations;
  • Supervising client certifications and ad hoc reporting obligations; and
  • Overseeing trade error analysis, resolution, documentation, and internal reporting.

 


 
  • 10 years of fixed income instruments and technology experience;
  • Strong Knowledge of BlackRock's Aladdin system, and BlackRock Query language;
  • Advanced degree MBA, J.D. or professional designation (such as a 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;
  • 10 years of fixed income instruments and technology experience;
  • Strong Knowledge of BlackRock's Aladdin system, and BlackRock Query language;
  • Bachelor's degree required, advanced degree MBA, J.D. or professional designation (such as a 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.
Job Function: Compliance
Schedule: Full-time
Apply on the Company Site
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