PGIM, the global investment management businesses of Prudential Financial, Inc., is one of the world’s leading money managers. With offices in 16 countries and over $1 trillion in assets under management, clients rely on our risk management expertise, intellectual capital and creative solutions to realize their investment objectives. We are passionate about delivering investment returns for our clients and dedicated to our greatest asset – our people.
At PGIM Investments, we consider it a great privilege and responsibility to help investors participate in opportunities across the global markets while meeting their toughest investment challenges. We offer a diversified suite of actively managed funds across a broad spectrum of asset classes and investment styles, with over $95 billion in assets under management.
PGIM Investments is seeking to fill a role supporting its mutual funds and related investment management practice. The role dually supports both regulatory/corporate governance-related activities as well as business-related project management tasks, including:
Assist in the preparation and filing of fund registration statements and other regulatory filings with the US Securities and Exchange Commission
Review fund disclosure documents related to PGIM Investment’s retail and annuity funds
Support the coordination and implementation of mutual fund product related initiatives, including but not limited to, new fund launches, mergers, proxies, and other product line related initiatives/enhancements
Assist with project management on ad hoc / special projects
Specific responsibilities of the job include:
Build familiarity with the technical and legal requirements governing registration statement and other regulatory filings, and to handle considerable independent responsibility for the management and successful completion of required filings and related projects.
Managing the preparation and filing of fund registration statements on Form N-1A and other forms, as well as other federal securities filings (such as filings on Form N-CEN, Form N-PX, proxy statements, and prospectus supplements).
Use Donnelley ArcProspectus and ArcFiling electronic registration statement and filing platforms utilized by the law department for SEC EDGAR filings.
Maintain and update fund books and records as needed, including the maintenance of current files of advisory agreements.
Draft disclosure documents, including revisions to existing prospectus disclosure language. Drafting responsibilities will also include preparation of selected agreements, including new advisory agreements, revisions to existing advisory agreements, as well as other types of agreements.
Coordinate review of regulatory filings by other stakeholders (both internal and external), including fund counsel and fund accounting.
Support the Head of Project Implementation on the coordination of key strategic product initiatives, including drafting and execution of project plans, meeting minutes/follow-ups, and other project management-related support
The successful candidate will have:
2 -5 years of paralegal and/or project management experience.
Asset management experience preferred, particularly with mutual funds or retail investment vehicles.
Working knowledge of Microsoft Word and Excel.
Strong analytical, drafting and proofreading skills.
Strong communication skills, both verbal and written.