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Compliance Officer

London, United Kingdom
Closing date
Sep 28, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Company Overview:

PGIM is the diversified asset management business of Prudential Financial, Inc. (NYSE: PRU). With $1.27 trillion in assets under management, as of 30 June 2023, and 46 offices spanning 18 countries and jurisdictions, PGIM is among the world's top-10 largest asset managers. Comprised of seven self-governing asset management divisions, each PGIM business offers a distinct workplace culture that aligns with the firm's ultimate objective: to provide premier service to our clients while fostering an inclusive workplace culture that is rooted in trust, respect and equality.

Our Business:

PGIM, Inc. operates internationally under the PGIM trading names. In Europe, a broad range of products and services is offered by PGIM Limited, PGIM Real Estate (UK) Limited and PGIM Private Capital Limited, all of which are wholly owned subsidiaries of PGIM, Inc. that are based in London and are authorised and regulated by the Financial Conduct Authority. These services include real estate debt and equity investment management, commercial mortgage lending, public and private fixed income investment management and corporate financing for professional investors. They are provided in a variety of product vehicles designed to suit investors' needs, including, but not limited to, AIF structures, segregated client accounts, QIFs, CLOs and UCITS funds. PGIM Limited also provides fund distribution services in addition to its investment management capabilities.

PGIM Limited's and/or PGIM Netherlands B.V.'s regulatory permissions are currently used by PGIM, Inc.'s US quantitative and active equity manager subsidiaries (PGIM Quantitative Solutions LLC and Jennison Associates LLC respectively) to market their strategies to professional investors in Europe. Both businesses are in the process of expanding and establishing ongoing presence in London.
More generally, the extent of PGIM's operations and product offerings in Europe continues to increase as it responds to investor demands and political and regulatory developments in the region. This has led to the expansion of existing product ranges as well as the creation of innovative new products that combine PGIM's asset managers' disciplines and expertise. The Compliance resource required to support these initiatives has also increased.

Your Impact/Responsibilities:

The Compliance department require a Compliance Officer to support PGIM Marketing Compliance Team. Based in London, the Compliance Officer will be part of the team responsible for all elements related to product development and marketing. Key aspects of the role include:
  • Reviewing, revising and approving a wide variety of financial promotions, advertisements, sales literature and related marketing communication materials (including but not limited to print and digital marketing, social media posts and other internal and external communications) in accordance with company policies, FCA and ESMA rules and other global regulations prior to distribution or use
  • Assisting with the monitoring, tracking and communicating developments in EMEA regulation (and market practices) as they relate to marketing activities
  • Assisting with the maintenance of relevant procedures and the provision of advice and training to businesses and Compliance colleagues on regulatory matters pertaining to marketing issues
  • Assisting with projects intended to streamline processes, including the use of system-based approvals, and incorporating new communication techniques in the marketing lifecycle.
  • Keeping current on industry developments affecting marketing and sales materials across various media, and communicating to and advising internal clients of changes in applicable rules & regulations and their effect on the materials
As the PGIM business continues to grow rapidly, the Compliance deliverables also continue to evolve and the incumbent will be given the opportunity to expand their knowledge and responsibilities beyond the sphere of marketing to include other aspects of Compliance monitoring, training and advice.

All tasks will be carried out in such a way as to protect the integrity and reputation of PFI, PGIM, Inc. and its global subsidiaries.

Your Required Skills:
  • You have a genuine interest in, and experience of, European financial regulation and in investments and financial markets, especially in the marketing of products and services.
  • You are a strong team player who is inquisitive, self-motivated, industrious and prepared to constructively challenge the status quo.
  • You have a proven track record of operating within an asset management environment
  • You are detail orientated, able to set priorities and complete simultaneous projects
  • You have good verbal and written communication skills, and the ability to deal with individuals at all levels of seniority
  • You enjoy challenges created by innovation, especially in the manufacturing of new investment products or entry into new markets
  • You can critically analyze, identify potential risks and strive to propose solutions.
  • Minimum 1+ years of relevant Compliance experience
  • Strong Microsoft Office Suite skillset, particularly Excel
  • Experience of Salesforce, Red Oak, Workfront or other marketing databases is preferred
  • Knowledge of fund marketing, particularly of AIFs and/or UCITS, is preferred
  • Strong academic background: degree or equivalent
What we offer:
  • An excellent opportunity to become part of a growing Compliance team in a successful, global business
  • A stimulating and challenging role, encompassing various elements of EMEA and US regulation
  • Exposure to a wide range of product types and innovative strategies encompassing a variety of asset classes
  • A platform to broaden your knowledge of the asset management sector and Compliance activities
  • Competitive salary
Our Culture:

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.

We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit to learn more about our values, our history and our brand.

Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status , medical condition or any other characteristic protected by law.

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