Job Classification:

Corporate - Legal and Compliance

Prudential Investment Management Services LLC (PIMS) is seeking an experienced individual to serve as a Vice President, Chief Administrative Officer, reporting to PIMS President. PIMS is an SEC-registered broker-dealer and FINRA member firm within Prudential Financial. Supporting 14 business units and functions, PIMS serves as underwriter, wholesaler, placement agent, and self-clearing firm for investment products manufactured by and sold though PGIM Investments, Quantitative Solutions, Fixed Income, Private Capital, Real Estate, Portfolio Advisory, DC Solutions, Jennison Associates, Prudential Group Insurance, Prudential Retirement Strategies, Institutional Relationship Group, the Treasures Office and the Retirement Full Services business sold to Great West Life.Additionally, associated persons of the firm work in service and support functions within the Enabling Solutions unit.PIMS operates primarily as a distributor to institutional and retail investors of mutual funds, ETFs, group variable products, closed-end funds, private funds, commercial paper, IRAs, and certain other Retirement products.

The Vice President, who will be a key member of the PIMS Center management, will function within the firms federated supervisory model and will manage a small team. This senior officers responsibilities will include, but not be limited to the following:

• Serve as Chief Administrative Officer

• Manage PIMS Centrals Governance and Administrative Team

• Guide Regulatory Change Management

• Oversee Conflicts of Interest Policy

• Review, execute and management PIMS Selling, Service and Administrative Agreements

• AML Program and Vendor Management

• Business Continuation Program Oversight

• Support Rule 38a-1 Compliance

• SEC Registration Review and Support

• Quarterly Securities Count

• Signature Guarantee Stamp Program Management

• Serving as Principal Operations Officer for PGIM, Group and Treasurers Businesses (if possess Series 27)

The Vice President will principally run PIMS Operating, Issues and Conflicts of Interest Committees and will help assure a sound corporate governance and administrative control environment across the firm. They will support the identification of risks, conflicts, and control strengths and challenges. They will assist in the development, documentation and adherence with governance and supervisory policies and procedures at the center of the firm, and within and across the constituent businesses as needed.

Key Responsibilities:

• Support the broker-dealer President in the governance and administration of the firm from the center

• Quickly learn and understand complex a business model and products

• Assist in the development, implementation and maintenance of policies, procedures and reporting. They will track and help address regulatory priorities and industry best practices throughout broker-dealer activities

• Develop and utilize close working relationships with PIMS constituent business and those doing the work of the firm, therein

• Help integrate industry benchmarking and best practices through ongoing research, education and industry affiliations and contacts

• Ability to collaborate effectively and work independently to meet expectations

Position Qualifications:

• Minimum of 10 years of broker-dealer supervisory experience, ideally within both an institutional and retail environment

• Thorough knowledge of the broker-dealer business from a risk, product, corporate governance, regulatory, marketplace, compliance, and administrative perspective; understand and navigate in a complex, global environment

• Demonstrated understanding of the business and regulatory framework

• Knowledge and understanding of FINRA and SEC rules and regulations, insurance and other state and federal securities laws and rules applicable to broker-dealer supervision and operations

• Proven communication skills (verbal, written, interpersonal) ability to interact and collaborate effectively with all levels of management and provide timely, clear, and complete communications

• Relationship management and experience with direct leadership of teams

• Creative and strategic approach to problem solving and change management

• A self-starter with a creative and strategic risk-based approach to problem solving and the ability to confront conflict and difficult issues in a professional, assertive, and proactive manner and challenge status quo

• Ability to effectively prioritize and multi-task while maintaining flexibility in a fast-paced changing environment

• Openness to new ideas and seeks opportunities to learn

• Professional skepticism in assessing appropriateness, objectivity, and independence

• Collaborates in a fully inclusive and open manner

• Bachelor's degree required; advanced degrees preferred; and

• Series 7, 24 & 63 required (Series 27 helpful)

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Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom.

Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America. Leveraging its heritage of life insurance and asset management expertise, Prudential is focused on helping individual and institutional customers grow and protect their wealth. The company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset management, and real estate services.

We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit www.prudential.com to learn more about our values, our history and our brand.

Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status , medical condition or any other characteristic protected by law.

The Prudential Insurance Company of America, Newark, NJ and its affiliates.

Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at staffingagencies@prudential.com for more information about doing business with Prudential.

PEOPLE WITH DISABILITIES:
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