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Harry Cassin
Publisher and Editor

Andy Spalding
Senior Editor

Jessica Tillipman
Senior Editor

Bill Steinman
Senior Editor

Richard L. Cassin
Editor at Large

Elizabeth K. Spahn
Editor Emeritus

Cody Worthington
Contributing Editor

Julie DiMauro
Contributing Editor

Thomas Fox
Contributing Editor

Marc Alain Bohn
Contributing Editor

Bill Waite
Contributing Editor

Shruti J. Shah
Contributing Editor

Russell A. Stamets
Contributing Editor

Richard Bistrong
Contributing Editor

Eric Carlson
Contributing Editor

Posts Tagged: Prudential Financial

Job: VP Compliance, Head of Financial Crimes

Job Title: VP Compliance, Head of Financial Crimes

Employer: Prudential Financial, Inc.

Location: Newark, New Jersey USA

Description: The head of Financial Crimes is a new position in Prudential Financial. This position is responsible for developing a new Enterprise Financial Crimes Framework as well as managing global enterprise programs related to: Anti-money laundering, Sanctions, Anti- Bribery/Anti-Corruption (ABC), including FCPA, Gifts and Entertainment, and Political Law Compliance .Continue Reading

Job: Manager, Compliance (Prudential – Newark, NJ)

Job Title: Manager, Compliance

Employer: Prudential 

Location: Newark, New Jersey, United States



Prudential Investments LLC’s (“Prudential Investments” or “PI”) compliance department is seeking an experienced compliance professional to implement a compliance program for a large investment adviser.… Continue Reading

China securities regulator targets ‘rat trading’

Investigators from the China Securities Regulatory Commission (CSRC) have targeted hundreds of mutual fund managers in a crackdown on “rat traders” to restore confidence in the country’s stock market.

Rat trading is a form of front-running in which fund managers use personal accounts to buy shares at a lower price, then sell them at a profit after purchases from the funds they manage have raised the shares’ value.… Continue Reading