Manager Compliance

3+ months agoNewark, NJ

This position is within the Corporate Compliance Department, whose responsibilities include SEC, Foreign and State filings and support of Section 16 insider reporting compliance. The ideal candidate should have knowledge and experience with the regulatory and compliance issues surrounding personal and portfolio trading activity, along with strong project management skills.

Specifically, the successful candidate will be responsible for:

· Serving as the Director's day-to-day back-up and will be considered the main candidate for succession planning purposes. As back-up, the role will include the following:

    • Meeting directly (in person or phone) with the Section 16 Insiders (CEO, Senior Vice Presidents, members of the Board of Directors) to discuss highly personal information such as assets in their personal trading accounts and their prospective plans to trade Company securities.
    • Holding discussions with Section 16 Insiders' Financial Advisors and/or attorneys.
    • Meeting with Executive Compensation regarding the Section 16 Insiders share ownership guidelines and discussing this information directly with the Section 16 Insiders.
    • Must be available to respond to Section 16 Insiders inquiries late night and weekends.
    • Assisting the Corporate Secretary to onboard new members of the Board of Directors and to transition out others.
    • Learning and applying the complex laws of Section 16 of the 1934 Act and discussing the laws and applicability with Outside Counsel.
Responsible for corporate Regulatory Filings including but not limited to 13G, 13F, 13H, Form PF and Form ADV to ensure timely filings and proper planning during peak periods.

Completing Section 16 and Rule 144 filings on behalf of Prudential's Executive Officers and Directors which will include knowledge of Rule 10b5-1 and 10b5-1 trading plans.

Serve as a Relationship Manager between Prudential's compliance units and a vendor-based filing platform.

Leading special compliance projects as they arise.

Maintaining brokerage account records for senior executives.

Assembling proxy and share ownership data.

Researching applicable laws and rules over an ever-changing regulatory landscape.

Monitoring for compliance with internal policies and procedures to ensure that Prudential does not violate any regulatory restrictions on Prudential's acquisition and/or sale of securities.

Supporting business units with regard to questions about trade restrictions.

Aggregating and monitoring companywide portfolio holdings to ensure compliance with the domestic and international laws.

Individual may participate in conducting compliance training.

Continuous process and system enhancements in regulatory reporting processes.

  • College degree strongly desired.
  • 3 years of Compliance or Legal experience.
  • Prior hands-on experience in a role handling regulatory and compliance issues surrounding personal and portfolio trading activity.
  • Understanding of Company's policies and procedures relating to insider trading and personal securities trading.
  • Current or prior Securities Registrations a plus.
  • Legal research skills such as Westlaw, Lexis/ Nexis, internet research, etc. preferred.
  • Public company experience a plus.
  • Formal project management skills are desired including the ability to manage a project with minimal oversight.
  • Strong interpersonal and presentation skills, ability to explain complex policies and procedures to employees at all levels. Candidate should be discreet, professional and be able to use sound judgment.
  • Excellent oral and written communication skills.
  • Highly motivated and have excellent time management and organizational skills. The candidate must be a detail-oriented self-starter able to work on several high priority assignments simultaneously.
  • Proficient in Microsoft applications including MS Word, Excel, PowerPoint and Access.

Job ID: Prudential-COM00090

Company Videos

Hear directly from employees about what it's like to work at Prudential.