Prudential Annuities Distributors (PAD)
Manager, PGIM Fixed Income Compliance (Hybrid)
Prudential Annuities Distributors (PAD), Newark, New Jersey, us, 07175
Manager, PGIM Fixed Income Compliance (Hybrid)
Job Classification: Corporate - Legal and ComplianceAt Prudential, we believe talent is key to achieving our vision. When you join Prudential, you’ll unlock a motivating and impactful career – all while growing your skills and advancing your profession at one of the world’s leading financial services institutions!PGIM Fixed Income, a division of PGIM Inc., an SEC-registered investment adviser and a Commodity Trading Adviser, is seeking a Compliance Director with expertise in fixed income and related investment advisory and investment company regulation to assist PGIM Fixed Income Compliance in overseeing a full range of regulatory and distribution compliance matters.The current employee work arrangement for this position is Hybrid and requires your on-site presence on a reoccurring basis as determined by your business.What you can expect:
Promote Prudential's reputation for ethics and integrity.Execute and manage the team assignments and projects.Conduct complete and timely reviews of marketing material and literature, including GIPS compliant presentations, as well as RFPs and client questionnaires/certifications in order to ensure compliance with applicable rules and regulations, as well as Company policies and procedures.Provide guidance to authors of marketing and client material about applicable policies and procedures and the regulatory environment.Verify that sales and marketing activities are carried out in accordance with applicable U.S. and non-U.S. licensing requirements.Educate and update the business on specific regulatory updates and changes within the industry affecting the business.Provide guidance on certain onboarding issues relating to certain representations contained in IMAs and subscription agreements.Draft, update and implement new Fixed Income procedures.What you’ll need:
Five plus years of asset management compliance experience, with expertise in Fixed Income products and markets.Working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, the Securities Act of 1933 and Securities Exchange Act of 1934.Familiarity with FINRA and NFA requirements.Confident self-starter with demonstrated ability to manage conflicting priorities with varying deadlines.Candidates must possess a high level of integrity.Openness to new ideas and seeks opportunities to learn.Professional skepticism in assessing appropriateness, objectivity and independence.Understand key business risks, marketplace and regulatory environment.Establishes themselves as credible voice at the table.Leads organizational transformation in areas of effectiveness and improvement.Ability to think beyond a problem on its face.Comfortable with ambiguity and has the dexterity to adjust as needed.Seeks to understand customer’s needs and challenges.Collaborates in a fully inclusive and open manner.It’d be a plus if you had:
Senior level communication skills related to Fixed Income regulation, products, issues and strategies.Prudential welcomes all applicants, even if you don't meet every requirement. If your skills align with the role, we encourage you to apply.What we offer you:
Market competitive base salaries, with a yearly bonus potential at every level.Medical, dental, vision, life insurance, disability insurance, Paid Time Off (PTO), and leave of absences, such as parental and military leave.Retirement plans:401(k) plan with company match (up to 4%).Company-funded pension plan.Wellness Programs
to help you achieve your wellbeing goals, including up to $1,600 a year for reimbursement of items purchased to support personal wellbeing needs.Tuition Assistance
to help finance traditional college enrollment toward obtaining an approved degree, many accredited certificate programs, and industry designations.Employee Stock Purchase Plan:
Shares can be purchased at 85% of the lower of two prices (Beginning or End of the purchase period), after one year of service.To find out more about our Total Reward package, see our Total Rewards Brochure. Some of the above benefits may not apply to part-time employees scheduled to work less than 20 hours per week.Note: Prudential is required by state specific laws to include the salary range for this role when hiring a resident in applicable locations. The salary range for this role is from $115,800.00 to $172,300.00. Specific pricing for the role may vary within the above range based on many factors including geographic location, candidate experience, and skills.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.Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status, medical condition or any other characteristic protected by law.
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Job Classification: Corporate - Legal and ComplianceAt Prudential, we believe talent is key to achieving our vision. When you join Prudential, you’ll unlock a motivating and impactful career – all while growing your skills and advancing your profession at one of the world’s leading financial services institutions!PGIM Fixed Income, a division of PGIM Inc., an SEC-registered investment adviser and a Commodity Trading Adviser, is seeking a Compliance Director with expertise in fixed income and related investment advisory and investment company regulation to assist PGIM Fixed Income Compliance in overseeing a full range of regulatory and distribution compliance matters.The current employee work arrangement for this position is Hybrid and requires your on-site presence on a reoccurring basis as determined by your business.What you can expect:
Promote Prudential's reputation for ethics and integrity.Execute and manage the team assignments and projects.Conduct complete and timely reviews of marketing material and literature, including GIPS compliant presentations, as well as RFPs and client questionnaires/certifications in order to ensure compliance with applicable rules and regulations, as well as Company policies and procedures.Provide guidance to authors of marketing and client material about applicable policies and procedures and the regulatory environment.Verify that sales and marketing activities are carried out in accordance with applicable U.S. and non-U.S. licensing requirements.Educate and update the business on specific regulatory updates and changes within the industry affecting the business.Provide guidance on certain onboarding issues relating to certain representations contained in IMAs and subscription agreements.Draft, update and implement new Fixed Income procedures.What you’ll need:
Five plus years of asset management compliance experience, with expertise in Fixed Income products and markets.Working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, the Securities Act of 1933 and Securities Exchange Act of 1934.Familiarity with FINRA and NFA requirements.Confident self-starter with demonstrated ability to manage conflicting priorities with varying deadlines.Candidates must possess a high level of integrity.Openness to new ideas and seeks opportunities to learn.Professional skepticism in assessing appropriateness, objectivity and independence.Understand key business risks, marketplace and regulatory environment.Establishes themselves as credible voice at the table.Leads organizational transformation in areas of effectiveness and improvement.Ability to think beyond a problem on its face.Comfortable with ambiguity and has the dexterity to adjust as needed.Seeks to understand customer’s needs and challenges.Collaborates in a fully inclusive and open manner.It’d be a plus if you had:
Senior level communication skills related to Fixed Income regulation, products, issues and strategies.Prudential welcomes all applicants, even if you don't meet every requirement. If your skills align with the role, we encourage you to apply.What we offer you:
Market competitive base salaries, with a yearly bonus potential at every level.Medical, dental, vision, life insurance, disability insurance, Paid Time Off (PTO), and leave of absences, such as parental and military leave.Retirement plans:401(k) plan with company match (up to 4%).Company-funded pension plan.Wellness Programs
to help you achieve your wellbeing goals, including up to $1,600 a year for reimbursement of items purchased to support personal wellbeing needs.Tuition Assistance
to help finance traditional college enrollment toward obtaining an approved degree, many accredited certificate programs, and industry designations.Employee Stock Purchase Plan:
Shares can be purchased at 85% of the lower of two prices (Beginning or End of the purchase period), after one year of service.To find out more about our Total Reward package, see our Total Rewards Brochure. Some of the above benefits may not apply to part-time employees scheduled to work less than 20 hours per week.Note: Prudential is required by state specific laws to include the salary range for this role when hiring a resident in applicable locations. The salary range for this role is from $115,800.00 to $172,300.00. Specific pricing for the role may vary within the above range based on many factors including geographic location, candidate experience, and skills.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.Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status, medical condition or any other characteristic protected by law.
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