Compliance Analyst for PGIM Fixed Income

1 week 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.

  • Fixed Income Specialist

    2 weeks ago

    London, Greater London, United Kingdom PGIM Full time

    PGIM Fixed Income | Distressed Credit OpportunityAbout the Role:This is a new and exciting opportunity for a Distressed Credit Associate to join the European leverage finance team in PGIM Fixed Income's London office. The Associate will work alongside Senior Distressed Credit Situations Analysts and support them in analysing, monitoring, and identifying...

  • Fixed Income Specialist

    2 weeks ago

    London, Greater London, United Kingdom PGIM Full time

    PGIM Fixed Income | Distressed Credit AssociateA Global Leader in Fixed Income ManagementPGIM Fixed Income is a global asset manager offering active solutions across all fixed income markets. Our team is dedicated to providing innovative investment strategies that meet the evolving needs of our clients.About the RoleThis is a new and exciting opportunity for...

  • Fixed Income Specialist

    1 week ago

    London, Greater London, United Kingdom PGIM Full time

    PGIM Fixed Income is seeking a highly skilled Distressed Credit Associate to join our European leverage finance team in London. As a key member of our team, you will work closely with Senior Distressed Credit Situations Analysts to analyze, monitor, and identify stressed/distressed credit investments across the European leverage finance corporate sectors....

  • Fixed Income Strategist

    1 week ago

    London, Greater London, United Kingdom PGIM Full time

    About PGIM Fixed Income:PGIM Fixed Income is a global asset manager offering active solutions across all fixed income markets. Our leaders are focused on talent & culture; 33 trillion multi-affiliate manager, in turn owned by Prudential Financial, Inc.Key Responsibilities:Develop a solid understanding of PGIM Fixed Income strategies (traditional and...

  • Fixed Income Specialist

    1 month ago

    London, Greater London, United Kingdom PGIM Full time

    PGIM Fixed Income Distressed Credit Associate Job DescriptionWe are seeking a highly skilled Distressed Credit Associate to join our European leverage finance team in PGIM Fixed Income's London office. As a key member of our team, you will work closely with Senior Distressed Credit Situations Analysts to analyze, monitor, and identify stressed/distressed...

  • Fixed Income Specialist

    4 weeks ago

    London, Greater London, United Kingdom PGIM Full time

    PGIM Fixed Income Distressed Credit Associate Job DescriptionWe are seeking a highly skilled Distressed Credit Associate to join our European leverage finance team in PGIM Fixed Income's London office. As a key member of our team, you will work closely with Senior Distressed Credit Situations Analysts to analyze, monitor, and identify stressed/distressed...

  • Fixed Income Specialist

    4 weeks ago

    London, Greater London, United Kingdom PGIM Full time

    PGIM Fixed Income Distressed Credit Associate Job DescriptionWe are seeking a highly skilled Distressed Credit Associate to join our European leverage finance team in PGIM Fixed Income's London office. As a key member of our team, you will work closely with Senior Distressed Credit Situations Analysts to analyze, monitor, and identify stressed/distressed...

  • Compliance Analyst

    3 days ago

    London, Greater London, United Kingdom Prudential Financial Full time

    A GLOBAL LEADING ASSET MANAGER WITH A DIVERSE & INCLUSIVE CULTURE Our Compliance Analyst will support our Global Asset Management business, always looking for ways to improve financial services and make a meaningful impact. We're passionate about solving financial challenges in an ever-changing world and believe talent is key to achieving our vision. When...

  • Fixed Income Specialist

    2 weeks ago

    London, Greater London, United Kingdom PGIM Full time

    PGIM Fixed Income | Career OpportunityAbout the Role:The Institutional Client Advisory Support Specialist will be an integral part of a Sales and Consultant Relations team focused on the UK, Ireland, and Middle East. This role will assist with the identification and cultivation of institutional relationships and opportunities.Key Responsibilities:Develop...

  • Fixed Income Specialist

    2 weeks ago

    London, Greater London, United Kingdom PGIM Full time

    PGIM Fixed Income | Client Advisory Support SpecialistA GLOBAL LEADING ASSET MANAGER WITH A DIVERSE & INCLUSIVE CULTUREAs a key member of the Sales and Consultant Relations team, you will play a vital role in identifying and cultivating institutional relationships and opportunities in the UK, Ireland, and Middle East. Your primary responsibility will be to...

  • Product Strategy Director

    1 week ago

    London, Greater London, United Kingdom PGIM Fixed Income Full time

    About the RoleWe are seeking a highly skilled Product Strategy Director to join our team at PGIM Fixed Income. As a key member of our organization, you will be responsible for driving the development and implementation of our product strategy across the EMEA region.Key ResponsibilitiesAct as a reliable source of UCITS and QIF knowledge for the PGIM FI Client...

  • Fixed Income Product Manager

    2 weeks ago

    London, Greater London, United Kingdom PGIM Full time

    PGIM Fixed Income | Director, Product Management & StrategyA GLOBAL LEADING ASSET MANAGER WITH A DIVERSE & INCLUSIVE CULTUREWe're always looking for ways to improve financial services. We're passionate about making a meaningful impact - touching the lives of millions and solving financial challenges in an ever-changing world. We also believe talent is key to...

  • Compliance Analyst

    1 month ago

    London, Greater London, United Kingdom PGIM Full time

    About the RoleWe are seeking a highly skilled Compliance Analyst to join our team at PGIM, a global asset management business of Prudential Financial, Inc. As a Compliance Analyst, you will play a critical role in ensuring the compliance program overseeing the PGIM Fixed Income business in London is effective and efficient.Key ResponsibilitiesMonitor...

  • Compliance Analyst

    1 month ago

    London, Greater London, United Kingdom PGIM Full time

    About the RoleWe are seeking a highly skilled Compliance Analyst to join our team at PGIM, a global asset management business of Prudential Financial, Inc. As a Compliance Analyst, you will play a critical role in ensuring the compliance program overseeing the PGIM Fixed Income business in London is effective and efficient.Key ResponsibilitiesMonitor...

  • Compliance Analyst for PGIM Fixed Income

    2 weeks ago

    London, Greater London, United Kingdom Prudential Financial Full time

    A GLOBAL LEADING ASSET MANAGER WITH A DIVERSE & INCLUSIVE CULTUREWe'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 –...

  • Asset Management Professional

    4 weeks ago

    London, Greater London, United Kingdom PGIM Full time

    CLO Specialist, Portfolio Administration | PGIM Fixed IncomePGIM is a global asset management business of Prudential Financial, Inc. with a diverse and inclusive culture.We are seeking a highly skilled CLO Specialist to join our team in London. As a key member of our Portfolio Administration team, you will be responsible for overseeing and owning all data...

  • Asset Management Professional

    4 weeks ago

    London, Greater London, United Kingdom PGIM Full time

    CLO Specialist, Portfolio Administration | PGIM Fixed IncomePGIM is a global asset management business of Prudential Financial, Inc. with a diverse and inclusive culture.We are seeking a highly skilled CLO Specialist to join our team in London. As a key member of our Portfolio Administration team, you will be responsible for overseeing and owning all data...

  • PGIM Fixed Income Specialist

    2 weeks ago

    London, Greater London, United Kingdom Prudential Financial Full time

    About PGIM Fixed IncomePGIM Fixed Income is a global asset manager offering active solutions across all fixed income markets. Our business climate is a safe, inclusive environment, centered around mutual respect, intellectual honesty, transparency, and teamwork. Our leaders are focused on talent and culture, dedicated to fostering growth and development at...

  • PGIM Fixed Income Distressed Credit Associate

    2 weeks ago

    London, Greater London, United Kingdom Prudential Financial Full time

    PGIM Fixed Income | Distressed Credit Investment OpportunityBased in London | A GLOBAL LEADING ASSET MANAGER WITH A DIVERSE & INCLUSIVE CULTUREWe're seeking a talented Distressed Credit Associate to join our European leverage finance team in PGIM Fixed Income's London office. As a key member of our team, you'll work alongside Senior Distressed Credit...

  • Compliance Analyst for PGIM Fixed Income

    1 month ago

    London, Greater London, United Kingdom Prudential Financial Full time

    About the RoleWe are seeking a highly skilled Compliance Analyst to join our team at PGIM Fixed Income. As a key member of our compliance program, you will play a critical role in ensuring the integrity and compliance of our business operations.Key ResponsibilitiesMonitor investment activity to ensure compliance with client guidelines, regulatory rules,...