Manager, Compliance - PGIM

Prudential Financial companies serve individual and institutional customers worldwide and includes The Prudential Insurance Company of America, one of the largest life insurance companies in the United States. These companies offer a variety of products and services, including life insurance, mutual funds, annuities, pension and retirement-related services and administration, asset management, banking and trust services. PGIM is the principal asset management business of Prudential Financial. 

The Manager will support PGIM in meeting the regulatory, contractual, and compliance requirements associated with its activities as a registered investment adviser. This role supports strategic initiatives across the PGIM business, with an emphasis on marketing and distribution compliance. This includes reviewing marketing materials and other advertising communications and helping enhance the effectiveness of the compliance program in accordance with regulatory expectations and evolving best practices.  

The Manager will also partner with sales and product management leaders to provide proactive regulatory guidance on sales and marketing practices, campaigns, product development, and product launches. 

This role is based in our office in Newark, NJ. Our organization follows a hybrid work structure where employees can work remotely and from the office, as needed, based on demands of specific tasks or personal work preferences. This position is hybrid and requires your on-site presence on a reoccurring weekly basis at least 3 days per week. For those outside of the commutable Newark location, we are open to virtual work arrangements. 

Key Responsibilities:  

• The scope of this role will evolve as business needs, compliance objectives, regulatory expectations, and departmental priorities change. Key responsibilities include: 

• Support the PGIM compliance program in preventing, detecting, and mitigating violations of applicable laws, regulations, and Prudential policies. 

• Review and approve marketing and advertising materials for compliance with SEC, FINRA, and firm policies. Evaluate retail, institutional, and advisory communications to determine applicable regulatory requirements. 

• Assess communications for accuracy, balance, and appropriate disclosures, including performance, risk, and product information. 

• Partner with marketing, sales, product, and legal teams to provide compliance guidance and resolve review comments. 

• Monitor regulatory developments and assist with implementing related policy and procedural updates. Contribute to compliance training and the ongoing enhancement of advertising review processes. 

• Deliver timely, high-quality work that meets established standards and deadlines, and support the management of departmental deliverables. 

Position Qualifications:  

The successful candidate will bring intellectual curiosity, strong business acumen, and a solutions-oriented approach. They will demonstrate an ownership mindset and be comfortable navigating uncertainty. Additional required qualifications include: 

• Bachelor’s degree required; an advanced degree is preferred. 

• Series 7 and 24 required 

• Marketing, advertising and communications review experience is required, particularly experience reviewing investment adviser and separate account materials, private funds, mutual funds, ETFs, non-registered products, CITs, and UCITS. 

• Demonstrated understanding of the regulatory framework for the marketing and distribution of the above products. 

• Strong knowledge and understanding of FINRA and SEC rules and regulations.  

• Understand key business risks, market dynamics, and the regulatory environment. 

• Demonstrates strong problem-solving, critical thinking, and change management capabilities, with the ability to assess broader business implications and develop practical, risk-based solutions. 

• Thrives in a fast-paced environment by effectively prioritizing competing demands, adapting to evolving priorities, and maintaining a high level of accuracy and attention to detail. 

• Communicates complex concepts clearly and effectively, both verbally and in writing, while building collaborative, inclusive relationships across teams and stakeholders. 

• Brings a growth mindset and curiosity for continuous learning, with an understanding of business risks, market dynamics, regulatory requirements, and customer needs to deliver practical compliance guidance.