Manager, Compliance - PGIM Fixed Income (Hybrid)

Job Classification:

Corporate - Legal and Compliance

PGIM Fixed Income, a division of PGIM Inc., an SEC-registered investment adviser and a business unit of Prudential Financial, Inc. is seeking a Compliance Manager. PGIM Fixed Income has over $759 billion in assets under management across 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.

The Compliance Manager role is a member of the Trading Advisory Compliance team which interacts with the PGIM Fixed Income business, including Portfolio Management, Research, Operational Risk, Client Services, and Operations on a regular basis. The ideal candidate is a clear strategic thinker, a great communicator, and can work in a trading environment. The role has high visibility to the Trade Management Oversight Committee comprised of senior members of PGIM Fixed Income.

Principal Responsibilities:

• Implement policies and procedures for an effective trading compliance program.
• Lead data-driven surveillance to identify market manipulation, information barrier issuers, and identify violation of trading policies (e.g., best execution, allocations, side-by-side management), and potential insider trading.
• Identify and escalate potential risks for the Firm
• Participate in special projects and regulatory exams
• Assist in maintaining information barrier controls, including trade restrictions, market sounding, and engagements across information barriers
• Present Compliance’s trade surveillance program to the Trade Management Oversight Committee

Qualifications:

This is a challenging role for a detail-oriented compliance officer who can thrive in a fast-paced environment. The individual must be inquisitive and pro-active.
• Experience in trade surveillance
• Understanding of fixed income and related derivatives markets
• A general understanding of securities trading and related regulations
• Extensive knowledge of Microsoft Excel, Tableau, and database query skills
• Data visualization skills and ability to derive trends and inferences from large data sets
• Strong written and verbal communication skills
• Promote Prudential's reputation for ethics and integrity.
• Openness to new ideas and seeks opportunities to learn
• Professional skepticism in assessing appropriateness, objectivity, and independence
• Establishes themselves as credible voice at the table
• Leads organizational transformation in areas of effectiveness and improvement
• 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

#LI-HYBRID

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 $108,000.00 to $160,700.00. Specific pricing for the role may vary within the above range based on many factors including geographic location, candidate experience, and skills. Roles may also be eligible for additional compensation and/or benefits. Eligibility to participate in a discretionary annual incentive program is subject to the rules governing the program, whereby an award, if any, depends on various factors including, without limitation, individual and organizational performance. In addition, employees are eligible for standard benefits package including paid time off, medical, dental and retirement.

Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom.

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, 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. 

The Prudential Insurance Company of America, Newark, NJ and its affiliates.

Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at [email protected] for more information about doing business with Prudential.

PEOPLE WITH DISABILITIES:
If you need an accommodation to complete the application process, which may include an assessment, please email [email protected].

Please note that the above email is solely for individuals with disabilities requesting an accommodation.  If you are experiencing a technical issue with your application or an assessment, please email [email protected] to request assistance.