Director Compliance

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Director Compliance - PGIM Investments
Duties: Oversee testing programs and ongoing compliance and other risk assessments; liase with strategic partners (i.e., risk and internal audit) on assessments related to our advisory and mutual fund businesses; Serve as point person regarding maintenance and development of adviser policy manuals; Prepare and review materials for internal governance bodies and fund boards of directors; Lead and participate in global and U.S. projects, including those related to regulatory changes and changes in the manager’s business; Supervise responses to regulatory inquiries and ad hoc requests; oversee Adviser’s ADV and NFA filings; Provide situational compliance support in connection with portfolio oversight, new fund launches, subadviser transitions, fund mergers, or liquidations; and Improve and streamline compliance processes where possible with a focus on the use of data analytics.

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