Job Description

Principal Responsibilities:

Project manager for implementation of global compliance programs, Compliance transformation initiatives, and associated technology platforms in the investment advisory space. Includes, among other things:
Coordination and collaboration with:
Global PGIM business units for regulatory requirements
Corporate Compliance Project Teams for implementation of several new technologies
Corporate Compliance Centers of Excellence for program management
Communications to/from PGIM CCOs, PGIM business compliance and PGIM businesses
Documentation and communication of key program and related process changes affecting PGIM businesses
Partnering with PGIM businesses on risk and gap analyses
Tracking and insuring closure of PGIM requirements for new technologies and related workflows
Leader and project manager for the Compliance Risk Management Program for the PGIM central functions. Includes:
Overseeing and developing a proactive and strategic CRMP within PGIM that is both risk-based and data driven
Developing and executing the CRMP’s approach for the PGIM Central functions (Operations and Innovation, HR, Executive and Strategy, Marketing, etc.) and for cross-PGIM risk mitigation (i.e. Centralized testing “like” risks and controls across PGIM businesses)
Overseeing execution of quarterly testing program with ACA, PGIM Compliance’s outside testing vendor
Leading and coordinating risk mitigation through issue escalation and tracking of identified gaps
Coordinating transition from Archer to OpenPages as new issue tracking and resolution platform
Conducting and documenting inherent and residual risk assessments
Collaborator who establishes and maintains strong relationships with business functions, PGIM business and Corporate compliance teams and other key partners such as Legal, Risk and Audit

Additional Responsibilities:

Lead PIMS (Broker-Dealer) 3120 annual review and other coordinated FINRA-related requests on behalf of PGIM businesses
Assist coordination of regulatory examinations including SEC, NJDOBI, etc. and other audits (internal audits such as QPAM and LM-10)
Provide support for regulatory filings such as Form ADV
Lead and coordinate implementation of new regulations and compliance programs that have cross business impact to ensure consistent handling and documentation.
Support PGIM’s and Enterprise Axonify Program through creation, updates and review of Axonify refresher questions and other content (i.e. guided learnings, etc.); create ad-hoc learning modules (i.e. BU targeted modules, registered representative module, etc.)
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.

Qualifications and required skills include:

Proven project management experience in a regulated investment advisory or risk management capacity
Bachelor's degree preferred
Minimum of 5-7 years of compliance experience, primarily in an asset management organization or consultancy role
Experience working for an SEC registered investment adviser and with coordinating with regulators (SEC, FINRA NJDOBI, etc.), a plus
Proven analytical, planning, problem solving and decision-making skills
Very strong writing skills – ability to clearly and concisely convey ideas, recommendations, etc
Highly collaborative, open-minded and able to work with and influence others without having direct authority
Confident and independent self-starter with demonstrated ability to manage conflicting priorities with varying deadlines
Proven leadership especially in a cross functional, global capacity
Ability to exercise sound judgment and discretion in identifying, selectively escalating and resolving issues
Advanced Excel skills and proficient PC skills (Outlook/Word/PowerPoint)