Job Description

PGIM Central Compliance provides compliance support to the PGIM organization by: monitoring and supporting the compliance program for the PGIM centralized functional units, including ensuring the activities of PGIM associates are in accordance with Prudential's and PGIMs policies governing such areas of individual conduct as personal securities trading, gifts, travel, and entertainment; pay-to-play regulations, insider information, and conflicts of interest; providing compliance support for global PGIM marketing efforts maintaining current and appropriate PGIM compliance policies and procedures. leading coordinated efforts with respect to regulatory and contractual requirements, including requisite regulatory filings. developing and deploying compliance training. serving as a general resource for resolving legal and interpretive issues relating to the asset management function. providing project management for cross business unit compliance initiatives; and seeking and implementing ways to continuously improve the PGIM Compliance program.

PGIM Central Compliance has a Manager level position available. The Manager will support the compliance program of the PGIM centralized functional units and work closely with the various PGIM business and corporate compliance teams regarding the regulatory and compliance requirements associated with a registered investment advisor who must also comply with various investment adviser, investment company, broker-dealer and insurance regulations.

Principal Responsibility:

Point person and leader for the global coordination for marketing pieces emanating at the PGIM level. This includes:

review of all marketing material (websites, social media, events, podcasts, surveys, etc.) emanating from PGIMs central marketing team in support of PGIMs brand campaign and executive thought leadership efforts;

coordination with global partners in various non-US jurisdictions;

coordination with legal and internal key stakeholders;

analyzing regulatory rules applicable to marketing, advertising and solicitation;

developing and implementing guidance for business use; and

developing and maintaining PGIM training content for areas of responsibility (i.e., Social Media, Advertisements and Marketing)

Additional Responsibilities:

Lead and coordinate cross business and centralized functions reviews and testing in support of Compliances Risk Management Program

Lead and coordinate regulatory examinations including SEC, NJDOBI, etc.

Lead and coordinate implementation of new regulations and compliance programs that have cross business impact to ensure consistent handling and documentation.

Implementation of PGIM policies and WSPs and Policy Governance Program, including drafting and revising, ownership of policy platform, and the implementation of a new technology solution.

Lead PIMS (Broker-Dealer) 3120 annual review and update

Provide code of conduct (outside business activities, gifts & entertainment, conflicts of interest, disclosures, etc.) support to PGIM functional units

Provide guidance on legal and regulatory requirements, including identifying major risk factors, and advising business compliance officers on effectively assessing, detecting, and resolving such issues across multiple business units.

Manage and develop staff

Qualifications and required skills include:

Bachelor's degree preferred

Minimum of 5 years of compliance experience, primarily in an asset management organization

Proven experience and working knowledge of marketing review in conjunction with Investment Advisers Act of 1940, Investment Company Act of 1940 and FINRA rules

Experience with RedOak marketing review platform a plus

Experience working for an SEC registered investment adviser and with coordinating with regulators (SEC, FINRA NJDOBI, etc.), a plus;

Confident and independent self-starter with demonstrated ability to manage conflicting priorities with varying deadlines

Proven leadership and collaborative skills, especially in a project management or cross functional capacity

Ability to exercise sound judgment and discretion in identifying, selectively escalating and resolving issues

Very strong writing skills ability to clearly and concisely convey ideas, recommendations, etc.

Penchant for developing talent

Advanced Excel skills and proficient PC skills (Word, PowerPoint)

Strong research and analytical skills

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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 staffingagencies@prudential.com 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 call (800) 433-8960, prompt 4 or email accommodation.h&w@prudential.com.

Please note that the above number and email are solely for individuals with disabilities requesting an accommodation. If you are experiencing a technical issue with your application or an assessment, please email careers@prudential.com to request assistance.