Compliance Analyst ensuring legal conformity in a leading healthcare company. Involves collaboration with legal teams, risk management, and corporate governance protocols.
About the role
- Compliance Manager overseeing trade surveillance and supporting investment teams at PGIM. Guiding on regulatory matters in a fast-paced, compliance-driven environment.
Responsibilities
- Fast-paced environment supporting public and private credit portfolio managers and traders
- Supervising the team responsible for the management and development of the trade surveillance program to monitor for compliance with policies and regulations
- Provide guidance on insider trading and information barrier matters
- Manage responses to internal audits and regulatory inquiries
- Oversee the proxy voting compliance programs
- Develop and maintain policies and procedures
Requirements
- 5+ years of Compliance experience covering fixed income investment teams
- Experience in managing and growing talent
- Strong data analysis skills with ability to gather and draw actionable conclusions from data
- Working knowledge of Aladdin trading system is required
- Asset management industry knowledge
- Understands key business risks, marketplace and regulatory environment
- Strong process improvement skills
- Proven ability to lead meetings with cross‐functional groups on trades to drive alignment and timely decision‐making.
- Excellent written and verbal communication skills, organizational skills, and attention to detail
Benefits
- Medical, dental, vision, life insurance, disability insurance
- Paid Time Off (PTO)
- 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
- 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.
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