7 days old

Manager, Compliance

Prudential Ins Co of America
Newark, NJ 07102
  • Job Code

About Us

PGIM is the global investment management businesses of Prudential Financial, Inc. headquartered in the United States. It is a name that stands for long-term conviction in asset management. With a powerful multi-manager model and a steady hand in a volatile world, PGIM is built on strength, stability and a 140-year legacy.

PGIM operates in Europe under various entities and regulatory regimes. PGIM Ltd (UK), PGIM Fund Management Ltd (UK) are authorized and regulated by the Financial Conduct Authority. PGIM Ltd (UK), PGIM Fund Management Ltd (UK) and PGIM Luxembourg (Lux) are also registered with the Securities and Exchange Commission of the United States of America. PGIM Fund Management Ltd (UK), PGIM Luxembourg (Lux) and PGIM Real Estate AG (Mum) are all registered AIFMs.

PGIMs various businesses offer industry-leading investment solutions for retail and institutional investors across all asset classes, including fundamental equity, quantitative equity, public and private fixed income, real estate, commercial mortgages, and mutual funds. PGIM has a multi-manager model with offices located in 16 countries across five continents. Among the products we offer include a family of Undertaking for Collective Investment in Transferable Securities (UCITS) funds and Qualifying Investor (QIF) Funds.

PGIM launched its Irish domiciled UCITS platform in November 2013 (PGIM Funds PLC) and has over $8 billion in assets across 29 UCIT sub-funds managed by PGIMs affiliated fixed income, equity, and real estate asset managers. The UCITS platform offers pooled vehicles for institutional and retail investors. The QIF Funds platform was launched in June 2009 and has approximately $1.4 billion in assets across 7 sub-funds managed by PGIMs affiliated fixed income and equity managers.

The teams activities are currently based in London and focus on: (i) development, management, and servicing of the distribution relationships; (ii) operational support for the day-to-day activities of the funds including on-going supervision of outsourced service providers; (iii) management of the governance requirements of the funds; and (iv) maintenance and development of the fund structure from a legal, compliance and regulatory perspective.

Position Summary

The Compliance manager will be responsible for:

  • Implementing compliance policies and procedures, and monitoring and testing programs for the UCITS/QIF platform;
  • Manage compliance issues related to the UCITS/QIF platform;
  • Assist the Designated Person for Regulatory Compliance for the UCITS platform for CP86 purposes (Compliance DP).
  • Performing risk assessments of the compliance program for UCITS/QIF funds;
  • Interfacing between the UCITS/QIF funds administrator and other service providers and the funds subadvisers in the United States and Europe;
  • Assist the Compliance DP with incoming regulatory requests and inquiries;
  • Provide support with reviews of marketing and paid and earned media literature related to UCITS/QIF funds.
  • Provide compliance support regarding ongoing licensing and registration requirements affecting the platform.
  • Provide support to other members of the global compliance team with compliance-related activities as required.

Although this role is expected to be based in Newark, NJ, the Compliance manager will work with a team of other compliance professionals in the UK/Europe who support PGIMs business units.

Ideal Person Profile

A successful candidate will have intellectual curiosity, business acumen, and be solutions oriented. The successful candidate also will possess an ownership mindset and is comfortable navigating uncertainty. Other required qualifications include:

  • Good working knowledge of the U.K. FCA, Irish Central Bank, and U.S. SEC regulatory framework. Understanding of the complexities and nuances of the global environment.
  • Previous experience supporting UCITS and QIF fund compliance programs.
  • Familiarity with UCITS marketing rules a plus.
  • Excellent communicator with ability to communicate effectively with internal and external stakeholders.
  • Strong management and collaboration skills. Ability to operate within an international environment with a diversity of cultures.
  • Ability to adapt with rapidly changing priorities and to manage competing tasks in a dynamic environment.
  • Flexible, strong, and self-assured personality. Demonstrates a sense of urgency, speed, and efficiency.
  • Builds connection and trust both within the function and across stakeholders.
  • Forward-looking and thinks beyond the problem in front of them.
  • Comfortable with ambiguity and has the dexterity to adjust as needed.
  • College degree required.


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 www.prudential.com 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.

Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at staffingagencies@prudential.com for more information about doing business with Prudential.

If you need an accommodation to complete the application process, which may include an assessment, please call (800) 433-8960, prompt 4 or email accommodation.h&w@prudential.com.

Please note that the above number and email are solely for individuals with disabilities requesting an accommodation. If you are experiencing a technical issue with your application or an assessment, please email careers@prudential.com to request assistance.

Posted: 2021-06-08 Expires: 2021-07-07
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Manager, Compliance

Prudential Ins Co of America
Newark, NJ 07102

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