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Company: Prudential Financial, Inc.
Position: Vice President, Chief Compliance Officer Investments (Global PGIM Compliance)
Location: Newark, NJ

Description: Prudential’s Compliance organization is looking for an experienced, high caliber investment compliance professional to lead the Compliance program for Prudential’s Chief Investment Office (“CIO”) in connection with a $486 billion portfolio. The CIO is responsible for developing the asset allocation strategy and overseeing asset/liability management for Prudential’s insurance businesses. The CIO oversees: the global portfolio management of the proprietary assets supporting insurance liabilities in Prudential’s general account as well as Guaranteed Separate Accounts, Prudential’s derivatives activities from Asset Liability Management and Portfolio Management to trading and execution; and Prudential’s alternative asset investing activities, including private equity, real estate, hedge funds and equity securities.

In addition, the role will support Prudential’s Corporate Social Responsibility Group (which includes the Prudential Foundation and an investment program). This position will be responsible for the design and implementation of a highly effective, risk-based compliance program. The position is part of the Compliance Organization and will manage a small team.


  • 12+ years of relevant financial service compliance or regulatory enforcement experience.
  • Technical compliance expertise with superior knowledge, skills and experience in compliance risk management
  • Significant experience conducting compliance due diligence on and monitoring compliance programs of investment managers.
  • Knowledge of cash market securities and alternative assets including hedge funds, private equity and real estate.
  • Knowledge of derivatives regulation, including Dodd Frank Title VII and state insurance regulatory related compliance matters.
  • Experience working in an asset management firm or insurance company. Knowledge of insurance general account portfolio management a plus.
  • Strong knowledge of investment management and related regulations, including ability to identify requirements related to regulatory changes.
  • Proficient in MS Office (Outlook/Word/Excel/Access/PowerPoint)
  • Bachelor’s degree or equivalent experience required. JD, MBA or advanced degree preferred

Other Attributes:

  • Highly analytical with strong critical thinking skills and ability to provide compliance guidance that balances relevant regulatory requirements, risk mitigation and business objectives.
  • Ability to spot relevant issues and solve problems through a practical business lens.
  • Exceptional written and oral communication skills.
  • Must excel at collaboration, partnership and relationship building.
  • A strong bias for simplicity.
  • Comfortable in ambiguity, self-directed and an agent and advocate for change.
  • Ability to lead and influence teams
  • Highly organized and strong project management skills
  • Ability to prioritize work and effectively manage time
  • Work independently and as a team member
  • Creativity, flexible and positive mindset, and ability to lead and drive change
  • Continuous improvement and global business mindset

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