Compliance Director safeguarding Zodia Custody against financial crime under Luxembourg regulations. Ensuring a robust compliance framework and managing regulatory requirements.
About the role
- Portfolio Compliance Risk Surveillance Analyst ensuring applicable regulatory compliance for fixed income portfolios at PGIM Fixed Income. Monitor guidelines and collaborate with various teams for compliance operations.
Responsibilities
- Monitor automated fixed income portfolio investment guidelines using Aladdin as well as manual processes where required
- Research potential violations by partnering with Data, Client Service, Portfolio Management and Operations teams as needed
- Prepare client certifications and other reporting
- Respond to ad hoc compliance requests regarding portfolios and trading
- Work on various transformation projects
Requirements
- Knowledge of financial markets and ability to learn the nuances of fixed income markets
- Interest or experience with the BlackRock Solutions’ Aladdin system or comparable technology skills such as advanced Microsoft Excel skills (e.g. VBA), SQL, Python, Perl, etc. are preferred but NOT required
- Strong data analysis skills with the ability to gather and draw actionable conclusions from data
- Excellent written and verbal communication skills, organizational skills, and attention to detail
Benefits
- Medical, dental, vision, life insurance, disability insurance
- Paid Time Off (PTO), including parental and military leave
- 401(k) plan with company match (up to 4%)
- Company-funded pension plan
- Wellness Programs with reimbursement of items for personal wellbeing needs (up to $1,600 a year)
- Work/Life Resources for topics such as parenting, housing, senior care, finances, pets, legal matters, education, emotional and mental health, and career development
- Education Benefit for financing traditional college enrollment toward obtaining an approved degree and accredited certificate programs
- Employee Stock Purchase Plan: Shares can be purchased at 85% of the lower of two prices after one year of service
- Eligibility to participate in a discretionary annual incentive program, subject to rules governing the program
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