Senior Associate, PGIM Central Compliance

Overview

Support compliance functions and regulatory requirements for PGIM

Key Responsibilities

• compliance training
• pst program
• risk assessment
• sop maintenance
• regulatory filing
• conduct reporting

Tasks

-Maintaining PGIM compliance training material in accordance with current Company policies and programs including new hire certifications -Supporting all aspects of the personal securities trading (PST) program for employees of a registered investment adviser -Assist in Compliance Risk Assessment planning and annual Compliance Review process. -Maintaining Compliance Standard Operating Procedures -Support annual regulatory filing compliance and related efforts. -Reporting on various types of employee conduct requirements including outside business activities, gifts and entertainment, and political contributions

Requirements

• compliance
• project management
• bachelor's
• asset management
• microsoft office
• risk analysis

What You Bring

-Ability to identify and understand key business risks, marketplace and regulatory environment -1-2 years of Compliance experience -Strong project management skills to mobilize solutions spanning competing areas -Bachelor's Degree in business related field -Strong interpersonal skills to collaborate with various business units legal and compliance contacts -Asset Management Industry knowledge -Curiosity to consider alternative approaches to solve problems. -Proficiency in Microsoft Office

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Benefits

-Medical, dental, vision, life insurance, disability insurance, Paid Time Off (PTO), and leave of absences, such as parental and military leave. -Market competitive base salaries, with a yearly bonus potential at every level. -401(k) plan with company match (up to 4%). -Company-funded pension plan. -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. -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. -Wellness Programs including up to $1,600 a year for reimbursement of items purchased to support personal wellbeing needs.

About Pgim

-Founded as the asset management arm of Prudential Financial, it has grown into one of the world’s largest investment managers. -With a strong presence in over 30 countries, it offers a wide range of investment strategies across equity, fixed income, real estate, and alternative investments. -Its expertise spans from commercial real estate to renewable energy investments, targeting sectors with high growth potential. -It is known for its data-driven approach, leveraging advanced analytics and insights to deliver superior results for its clients. -Its diverse portfolio includes projects in infrastructure, energy, residential and commercial properties, and more. -The real estate division is particularly noted for its global reach, managing significant assets across North America, Europe, and Asia. -The firm is also making significant strides in alternative investments, focusing on private equity, hedge funds, and other non-traditional asset classes. -With a blend of traditional and innovative investment strategies, it delivers tailored solutions designed to meet the needs of institutional investors, pension funds, and individual clients.

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