Compliance Analyst for PGIM Fixed Income

4 weeks ago

London, Greater London, United Kingdom Prudential Financial Full time

A GLOBAL LEADING ASSET MANAGER WITH A DIVERSE & INCLUSIVE CULTURE

We're passionate about making a meaningful impact - touching the lives of millions and solving financial challenges in an ever-changing world. Our team is intentional about building a culture on respect and collaboration. When you join PGIM, you'll unlock a motivating and impactful career – all while growing your skills and advancing your profession at one of the world's leading global asset managers

Key Responsibilities:

As a Compliance Analyst, you will be part of the team responsible for the compliance program overseeing the PGIM Fixed Income business in London. Your key responsibilities will include:

  • Monitoring investment activity to ensure compliance with client guidelines, regulatory rules, prospectuses, and policies and procedures both on an automated and manual basis.
  • Researching potential violations and escalating as needed to resolve.
  • Working closely with Portfolio Management, Trading, and Operations to manage trade day alerts through BlackRock Solutions Aladdin application.
  • Preparing periodic client certifications.
  • Reviewing changes to client guidelines and implementing changes within the Aladdin environment as needed.
  • Assisting in on-boarding and compliance setup for new accounts as needed.
  • Responding to ad hoc requests regarding trading and fund information.

Compliance Monitoring:

You will assist with the delivery of the compliance monitoring programme, including:

  • Personal and firm conflicts of interest.
  • Trading oversight.
  • Anti-money laundering.
  • Market Conducts.
  • Information Barriers.

Regulatory Advice:

You will provide regulatory advice and guidance to the business as required on existing regulations and changes to regulations, assisting with project and implementation plans as required.

Team Support:

You will assist in providing documentation required for audit requests, participate and complete assigned tasks for team projects and initiatives, and assist in preparing management information for applicable committee and board reports.

Requirements:

To be successful in this role, you will need:

  • A degree in a relevant field.
  • Minimum of 2 years working with an Asset Management, Investment Advisor, or similar, preferably within the compliance department.
  • Proven experience of working in a similar role within an asset management organization; good knowledge of fixed income instruments (including derivatives), financial markets or a compliance background is highly beneficial.
  • Familiarity of applicable European Directives and Regulation, including but not limited to MiFID, MAR, AIFMD, GDPR, UCITS, SFDR and the Financial Conduct Authority's Handbook.
  • Familiarity of federal securities laws applicable to investment advisers, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940 and experience with other rules and regulations under the Securities Act of 1933, ERISA a plus but not essential.
  • Excellent skills using MS Office, especially Excel and prior experience of BlackRock Solutions' Aladdin system advantageous.

What will set you apart:

You will be an excellent team player with high energy and a positive attitude, seeking development and learning opportunities, proficient use of technology applications through suite of Office 360 applications, Aladdin and Salesforce experience beneficial, strong critical thinking and logic skills, embracing and encouraging change and development, maintaining high level of productivity and self-direction, enjoying being a part of a team but can work independently, proactive in solution solving.

PGIM welcomes all applicants, even if you don't meet every requirement. If your skills align with the role, we encourage you to apply.

About PGIM Global Asset Management

Our Commitment to Diversity, Equity, and Inclusion Prudential Financial, Inc. is focused on creating a fully inclusive culture, where all employees feel comfortable bringing their authentic selves to work. We don't just accept difference—we celebrate it, support it, and thrive on it. At Prudential, employees have a unique opportunity to build their career path by owning their development, their career, and their future. We encourage employees to hone their skills and explore continued opportunities within Prudential. - 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, some of which may not be available in your area.

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