Manager Compliance - Pgim Investments hybrid

Profile

Manager, Compliance - PGIM Investments (Hybrid)

The candidate will implement the compliance oversight program relating to PGIM Investments’ Strategic Investment Research Group (“SIRG”). SIRG provides research to clients with respect to the identification, selection and monitoring of funds and investment advisers. SIRG also makes available asset allocation models to certain third- party investment advisers and other financial services companies. The SIRG compliance oversight program includes various on-going compliance monitoring and testing activities that are designed to ensure that SIRG complies with the business policies and procedures that govern these activities. Will implement PI’s testing programs and ongoing compliance and other risk assessments including coordinating with strategic partners (i.e., risk and internal audit) on assessments related to our advisory and mutual fund businesses. Coordinate responses to regulatory inquiries and ad hoc requests including leading the firm’s annual and on-going Forms ADV and NFA filings. Maintain and continually review the adviser and mutual fund compliance policies and procedures. Oversee the preparation of materials for internal governance bodies and fund boards of directors. Oversee training/new hire/personal trade/political contribution/gifts and entertainment/outside business activity monitoring, reporting and analytics. Assist with the development of training content. Participate in global and U.S. projects, including those related to regulatory changes and changes in the manager’s business. Provide support for various ad hoc projects.

Additional Information

ID: R-110072

Company info

Prudential Financial, Inc
751 Broad Street
Newark
New Jersey
United States 07102
Website : http://www.prudential.com