Title
Vice President & Chief Compliance Officer
Company
Prudential
Bio
Chad Alan Earnst serves as chief compliance officer of PGIM’s mutual fund manufacturing and distribution business, which retails a broad array of fixed income, equity, real assets and alternative strategies. Earnst serves as the chief compliance officer of both the mutual funds and their advisers. Earnst also oversees the compliance organizations for Prudential’s retail adviser and broker‐dealer business. He leads a team of approximately 75 compliance professionals in overseeing multiple investment advisers, broker‐dealers and a transfer agent. Before joining Prudential, Earnst led the Division of Enforcement’s Asset Management Unit in the agency’s Miami Regional Office, where he supervised investigations involving issues of compliance, board governance, valuation, performance, insider trading, alternative investments and conflicts of interest. He also served as assistant director of the SEC’s Miami Regional Office. As a former Securities and Exchange Commission regulator, he skilled in leading the assessment and implementation of risk‐based compliance programs for traditional and alternative investments. He has over a decade of SEC experience leading enforcement investigations and regulatory examinations in domestic and international markets.