Chad Alan Earnst serves as the Global Head of Compliance for PGIM, the global investment management business of Prudential Financial, Inc. PGIM is a multi-manager that offers a wide range of investment strategies across asset classes and geographies, including public equities, public and private fixed income, commercial mortgages and real estate. Earnst is also the Chief Compliance Officer of the PGIM mutual funds and oversees compliance for one of Prudential’s broker-dealers.
Earnst is a former SEC regulator 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. Before joining Prudential, Earnst led the SEC 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. Earnst also served as Assistant Director of the SEC’s Miami Regional Office.
Before joining the SEC in 2003, Earnst was a litigation attorney with Zuckerman Spaeder, LLP, a law firm based in Washington D.C. He received a Juris Doctor, magna cum laude, from the University of Miami School of Law. Earnst is a Chartered Alternative Investment Analyst.