MutualFundWire.com
The insiders' edge for 40 Act industry executives!
an InvestmentWires' Publication
an InvestmentWires' Publication
|
|
MutualFundWire.com
The insiders' edge for 40 Act industry executives!
an InvestmentWires' Publication |
|
Friday, March 22, 2013 An $827B Asset Manager Seeks a Compliance Director WANTED: A director of compliance for roughly $827 billion in assets, including mutual funds. Prudential [profile] is seeking such an executive for its Prudential Investment Management (PIM) Compliance arm. According to the Linkedin job posting, PIM Compliance is "responsible for ensuring that all portfolios managed by PIM are in compliance with applicable regulatory and contractual requirements, and for ensuring that the activities of PIM associates are in accordance with Prudential's policies governing such areas of individual conduct as personal securities trading; gifts, travel, and entertainment; insider information; and conflicts of interest. PIM Compliance serves as a general resource for resolving regulatory and interpretive issues relating to the asset management function." The job posting describes this job as "challenging position with high exposure," with responsibilities including "ad-hoc and other projects such as the evaluation of new regulations, research on major issues and development of firm's response to proposed regulations." Other responsibilities may include "review and monitoring of the following: investment advisory and broker/dealer issues, private placement coordination, Foreign Corrupt Practices Act, international issues, marketing material and sales function oversight, personal trading, gift and entertainment, lobbying and pay-to-play, reconciliations, policy reviews and database maintenance." Read more about the job in Linkedin. Printed from: MFWire.com/story.asp?s=43376 Copyright 2013, InvestmentWires, Inc. All Rights Reserved |