Compliance Analyst for PGIM Fixed Income

3 weeks ago

London, Greater London, United Kingdom Prudential Financial Full time

A leading global asset manager with a diverse and inclusive culture is seeking a Compliance Analyst to support its Fixed Income business. At Prudential Financial, we're passionate about making a meaningful impact and solving financial challenges in an ever-changing world.

Key Responsibilities:

The Compliance Analyst will be part of the team responsible for the compliance program overseeing the PGIM Fixed Income business in London. Key responsibilities include:

  • Monitoring investment activity to ensure compliance with client guidelines, regulatory rules, prospectuses, and policies and procedures.
  • 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:

The Compliance Analyst 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:

The Compliance Analyst 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 needed.

Team Support:

The Compliance Analyst 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.
  • 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.
  • Excellent skills using MS Office, especially Excel, and prior experience of BlackRock Solutions' Aladdin system advantageous.

What We Offer:

At Prudential Financial, we offer a competitive salary and benefits package, as well as opportunities for professional development and growth. We are an equal opportunities employer and welcome applications from all qualified candidates.

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