Director of Trade Advisory Compliance (Hybrid)

Job Classification:

Corporate - Legal and Compliance

At Prudential, we believe talent is key to achieving our vision. When you join Prudential, you’ll unlock a motivating and impactful career – all while growing your skills and advancing your profession at one of the world’s leading financial services institutions!

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 Director. PGIM Fixed Income has over $850 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. PGIM Fixed Income Compliance also supports Prudential Trust Company, a Pennsylvania trust company with approximately $80 billion in assets under management (“PruTrust”). PruTrust acts as a fiduciary and provides trustee services for collective investment funds and other similar investment vehicles managed by affiliated investment advisers.

The Compliance Director role is a member of the Compliance team that supports the PGIM Fixed Income Trading and Lending and PruTrust business units. This is a challenging, fast-paced, and deadline-driven environment, which requires excellent interpersonal and time management skills. The Compliance Director will interact with portfolio managers, operations, and senior stakeholders to advise on trading, information barriers and regulatory matters. Additionally, the Compliance Director will be responsible for the the large private credit investment compliance program and the asset based finance compliance program. The Compliance Director will operate in a team environment and foster collaboration and professional growth.

The scope and responsibilities of this role will be dynamic to support evolving business models, compliance objectives, the regulatory landscape, and departmental deliverables.

What you can expect:

• Support the distressed credit, large cap private credit and the asset based finance investment teams
• Advise on insider trading and information barrier matters
• Manage responses to internal audits and regulatory inquiries
• Represent PGIM Fixed Income Compliance in cross-business projects
• Oversee the proxy voting compliance programs
• Analyze regulatory developments
• Develop and maintain policies and procedures
• Manage AML program
  
  

What you’ll need:

• 10 years of Compliance experience
• Experience in distressed credit, large private credit, securitized credit or asset based finance
• Asset management industry knowledge
• Working knowledge of Aladdin trading system a plus
• Understands key business risks, marketplace and regulatory environment
• Strong interpersonal skills to interface with various business units, traders, legal and compliance
• Management experience is a plus
• Strong process improvement skills
• Able to perform as a team player and independently to help accomplish work objectives
• Strong data analysis skills with ability to gather and draw actionable conclusions from data
• Excellent written and verbal communication skills, organizational skills, and attention to detail
• Professional skepticism in assessing appropriateness, objectivity and independence
• Comfortable with ambiguity and has the dexterity to adjust as needed
• Understands the complexities and nuances of a global environment
  
  

What we offer you:

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 $148,800.00 to $201,200.00. Specific pricing for the role may vary within the above range based on many factors including geographic location, candidate experience, and skills.

• Market competitive base salaries, with a yearly bonus potential at every level.
• Medical, dental, vision, life insurance, disability insurance, Paid Time Off (PTO), and leave of absences, such as parental and military leave.
• 401(k) plan with company match (up to 4%).
• Company-funded pension plan.
• Wellness Programs including up to $1,600 a year for reimbursement of items purchased to support personal wellbeing needs.
• Work/Life Resources to help support topics such as parenting, housing, senior care, finances, pets, legal matters, education, emotional and mental health, and career development.
• Education Benefit to help finance traditional college enrollment toward obtaining an approved degree and many accredited certificate programs.
• Employee Stock Purchase Plan: Shares can be purchased at 85% of the lower of two prices (Beginning or End of the purchase period), after one year of service.
  
  

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. To find out more about our Total Rewards package, visit Work Life Balance | Prudential Careers. Some of the above benefits may not apply to part-time employees scheduled to work less than 20 hours per week.

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

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.

If you need an accommodation to complete the application process, please email accommodations.hw@prudential.com.

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