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Director Compliance - PIMS in Newark, NJ



$200K - $250K*


Auditing & Compliance, Legal & Regulatory


11 - 15 years

Job Description


Prudential Investment Management Services LLC ("PIMS") is seeking an experienced team member to serve as Compliance Director, reporting to PIMS' Chief Compliance Officer. PIMS is an SEC-registered broker-dealer and FINRA member firm, within Prudential Financial, Inc. PIMS serves as underwriter, wholesaler, placement agent, and retailer of investment products manufactured and sold by multiple Prudential businesses, including those of PGIM (Prudential's global investment management business), Prudential Retirement and Group Insurance. PIMS operates primarily as a distributor of mutual funds, ETFs, group variable products, commercial paper, private funds, and certain Retirement products through financial firm intermediaries, institutional and retail investors.

The Director will support the PIMS CCO and team to transform and evolve the existing compliance program to broaden and bolster its strategic focus across the PIMS-rela

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Valid through: 2020-5-14

About Prudential

Prudential Financial, Inc. is an American Fortune Global 500 and Fortune 500 company whose subsidiaries provide insurance, investment management, and other financial products and services to both retail and institutional customers throughout the United States and in over 30 other countries. Principal products and services provided include life insurance, annuities, mutual funds, pension- and retirement-related investments, administration and asset management, securities brokerage services, and commercial and residential real estate in many states of the U.S. It provides these products and services to individual and institutional customers through distribution networks in the financial services industry. Prudential has operations in the United States, Asia, Europe and Latin America and has organized its principal operations into the Financial Services Businesses and the Closed Block Business.
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