PGIM European Services Ltd Compliance Analyst
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.
- 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.
- 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
- 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.
- 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
PGIM is the global asset management business of Prudential Financial, Inc. (NYSE: PRU), a leading global investment manager with nearly US$1.27 trillion in assets under management as of June 30th, 2023. With offices in 18 countries, PGIM's businesses offer a range of investment solutions for retail and institutional investors around the world across a broad range of asset classes, including public fixed income, private fixed income, fundamental equity, quantitative equity, real estate and alternatives.
With a history dating back 148 years, and experience through more than 30 market cycles, PGIM takes a long-term view, not only in our investment philosophy, but also in how we develop our talent. We want to see our employees excel from their first day with the firm and throughout their tenure with PGIM.We will inspire you, support you, and help you reach your greatest personal and professional aspirations. If PGIM sounds like the place for you, join us. For more information about PGIM, visit PGIM.com. Prudential Financial, Inc. of the United States is not affiliated with Prudential plc.
which is headquartered in the United Kingdom.
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 oppo