Compliance - Shelton, CT | Dresher, PACompliance Analyst
About the position
This position will support multiple activities within the Prudential Annuities Compliance team, including providing day-to-day compliance support and advice to various areas within the business unit with particular focus on the wholesale broker-dealer. The role will support Compliance functions related to Sales, Distribution, Operations, Training, Records Management, and other needs as assigned.
· Support for Wholesale Broker-Dealer including tracking of training and licensing, preparation of reports and preparation of the Annual Compliance Meeting, and other duties supporting the Broker-Dealer Compliance team.
· Support to the Sales Compliance function.
· Support for the Annuities Compliance Business Continuation Plan team.
· Support for Records Management team.
· Assisting with data analytics and reporting conducted for and by the Annuities Compliance team.
· Assisting with monitoring of Suitability and construction of Suitability desk.
· Potential for Project Management assignments within the team.
· Monitoring of various requirements for Broker-Dealer and general Annuities personnel.
· Assisting with preparation of materials for Broker-Dealer Board of Directors meetings.
· Other duties as assigned.
Shelton, CT or Ft. Washington (Dresher), PA
· Bachelor’s degree strongly preferred, Master’s/Advanced degree a plus. Series 6 and 26 preferred or Series 6 required within 3 months and Series 26 within 12 months of hiring.
· 3-5 years Compliance, legal or business experience in financial services preferred but not required.
· Strong collaboration competency with a willingness to partner with team members and other business associates at all levels.
· Comfort with the concept of taking intelligent risks and an ability to make sound recommendations and assist with providing advice grounded in consumer advocacy, practical application of regulatory requirements and sound business practices.
· Strong analytical skills and ability to identify and research areas that may have more complex regulatory requirements and translate and educate for business application.
· Must be self motivated, able to work collaboratively and comfortable with ambiguity.
· Excellent written and verbal communication skills.
· Position involves occasional travel, mainly to other Prudential facilities.
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, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law.
Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at firstname.lastname@example.org for more information about doing business with Prudential.Apply Now
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