PGIM Investments - Paralegal – Mutual Fund Regulatory Filings

Job Classification:

Corporate - Legal and Compliance

The PGIM Investments (PI) Corporate Governance Group is seeking a Governance Specialist / Paralegal to support its mutual funds and related investment management practice.  The Governance Specialist/Paralegal will support PI personnel, including attorneys, who are responsible for new business and regulatory developments impacting mutual funds, closed end funds and exchange traded products.  The Governance Specialist/Paralegal will also assist in the preparation and filing of fund registration statements and other regulatory filings with the US Securities and Exchange Commission, reviewing fund disclosure documents, and performing other related tasks.  The Governance Specialist/Paralegal will be expected to become familiar with the technical and legal requirements governing registration statement and other regulatory filings, and to handle considerable independent responsibility for the management and successful completion of required filings and related projects.

Specific responsibilities of the job include:

managing the preparation and filing of mutual fund registration statements as well as other federal securities filings. achieving proficiency in using various web-based applications and tools utilized by the PI law department for mutual fund filings. maintaining and updating fund books and records as needed, including the maintenance of current files of advisory agreements. drafting disclosure documents, including revisions to mutual fund prospectus disclosure language. Drafting responsibilities will also include the preparation of advisory and other types of agreements. coordinating and obtaining input and review of regulatory filings by other stakeholders (both internal and external). assisting in special projects as needed. 

The successful candidate will:

• Have graduated from college and at least 5 years of paralegal experience.
• At least 1 year of experience with mutual fund regulatory filings (N-1A, 485B, N-2, N-14, DEF 14A, and N-PX)
• Have a strong working knowledge of Microsoft suite of products.
• Have strong keyboarding skills and a high level of comfort in using web-based applications.
• Have strong analytical, drafting and proofreading skills.
• Have a desire to learn new areas or subjects and be flexible with changing priorities in a fast-paced environment.
• Have a willingness to ask questions and search out information, and to seek information needed to complete projects and tasks.
• Have a strong attention to detail, including the ability to work independently and to work on several projects simultaneously.
• Have strong time management and project management skills.
• Be available and able to support the work of other segments of the PI Corporate Governance Group and law department as needed.
• Be able to work well with people at all levels of the organization, as well as people outside of the organization.
• Strong communication skills, both verbal and written, are necessary.

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 $75,000 to $90,000.    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.

Our Culture:

Prudential is focused on creating a fully inclusive culture, where all employees feel comfortable bringing their authentic selves to work. We don’t just accept difference—we celebrate it, support it, and thrive on it. At Prudential employees have a unique opportunity to build their career path by owning their development, their career and their future. We encourage employees to utilize the internal “Skills Accelerator” to hone their skills and explore the opportunities available to them within Prudential.

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.