PGIM European Services Ltd | Compliance Analyst
3 months ago
A GLOBAL LEADING ASSET MANAGER WITH A DIVERSE & INCLUSIVE CULTURE As the Global Asset Management business of Prudential, we’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 achieving our vision and are 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 If you’re not afraid to think differently and challenge the status quo, come and be a part of a dedicated team that’s investing in your future by shaping tomorrow today. At PGIM, You Can
What you will do:
PGIM Compliance seeks a Compliance Analyst to support PGIM Fixed Income. Based in London and reporting to the PGIM Fixed Income UK Compliance Officer, the Compliance Analyst will be part of the team responsible for the compliance program overseeing the PGIM Fixed Income business in London. The compliance program includes trading oversight, conflicts of interest monitoring, anti-money laundering and ensuring that portfolios managed by the Fixed Income unit are in compliance with applicable regulatory and contractual requirements. The individual will be based in London in a fast paced and dynamic environment and will interact with members of wider compliance team and business across PGIM Fixed Income’s locations globally, including the parent office in the USA, Ireland and the Netherlands. The scope and responsibilities of this position will not be static. As the business needs and compliance objectives change over time, the responsibilities of this position will be expected to evolve in order to meet the changing deliverables of the department.
What you can expect:
Portfolio Compliance
• Monitor investment activity to ensure compliance with client guidelines, regulatory rules, prospectuses, and policies and procedures both on an automated and manual basis.
• Research potential violations and escalate as needed to resolve.
• Work closely with Portfolio Management, Trading, and Operations to manage trade day alerts through BlackRock Solutions Aladdin application.
• Prepare periodic client certifications.
• Review changes to client guidelines implement changes within the Aladdin environment as needed.
• Assist in on-boarding and compliance setup for new accounts as needed.
• Respond to ad hoc requests regarding trading and fund information.
Compliance Monitoring
• Assist with the delivery of the compliance monitoring programme including;
o Personal and firm conflicts of interest;
o Trading oversight;
o Anti-money laundering;
o Market Conducts;
o Information Barriers
Regulatory Advice
• 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
• Assist in providing documentation required for audit requests.
• Participation and completion of assigned tasks for team projects and initiatives.
• Assistance in preparing management information for applicable committee and board reports
What you will bring:
• Degree educated is preferred;
• 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:
• Excellent written and verbal communication skills;
• Team player with high energy and a positive attitude;
• Seeks 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;
• Embraces and encourages change and development; • Maintains high level of productivity and self-direction;
• Enjoys 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 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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