Director, Fixed Income Compliance (Hybrid)
Job Classification:Corporate - Legal and Compliance
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. PGIM Fixed Income has over $700 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.
Promote Prudential's reputation for ethics and integrity.
Address regulatory and distribution compliance issues relating to Fixed Income fund investment, product development and distribution, including private fund regulation and related compliance issues
Participate in new product development and product launches
Provide guidance with respect to the SEC Marketing Rule requirements
Manage NFA and SEC regulatory filings
Monitor and advise on new regulations and related compliance activity
Partner with the business to draft, update and implement Fixed Income policies, procedures and processes
Manage internal and regulatory audits for Fixed Income investment adviser
Establish regulatory processes and controls and recommend and implement enhancements based on new business initiatives
Train staff and relevant business partners in matters affecting Fixed Income
8+ years of asset management compliance experience, with demonstrated expertise in Fixed Income products, markets, strategies and the laws and rules applicable to Fixed Income Portfolio Management
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
Substantial experience with regulatory and investment issues facing large and diversified financial institutions
Senior level communication skills
Experience with fixed income trading and markets
Confident self-starter with demonstrated ability to manage conflicting priorities with varying deadlines
Experience in managing complex regulatory filings and communications
Experienced with rules, regulations and policy issues of the CFTC, NFA and FINRA relating to Fixed Income Investment Management
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 [Register to View] 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.
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