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.

Principal Responsibilities

·         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 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 for more information about doing business with Prudential.

Apply Now

Join PrudentialApply for this position

Please fill out the online application and upload your supporting materials. We appreciate the time and effort you put into your application.

Apply Now

Save or Send Email this Job

Get a link to the job and the full description that you can save for later or share with someone you think might be a good fit.

Get Link to this job description in an email to save for yourself or send

Related Job Openings

Senior Associate, Regulatory Supervision

Compliance - Iselin, NJ
  • Full Time Position
  • Job No: CEN0004M
The Specialist is part of Prudential’s Centralized Transaction Review Unit (CTR), which is charged with suitability review of insurance, annuity, and investment product sales by the company’s Financial Professionals. The incumbent is responsible for review of adequacy and accuracy of documentation used in support of suitability and replacement transaction reviews, applying basic knowledge of U.S. Federal and state compliance regulations, as well as company policies and requirements. Additional responsibilities include review of transactional matches detected by the...
View Job Details

Service Delivery Technical Specialist

Compliance - Dubuque, IA | Hartford, CT | Scranton, PA | Iselin, NJ
  • Full Time Position
  • Job No: PLA0006P

Responsible for independent management of an assigned book of business in either (or both):

o    Compliance Testing & Reporting

o    Plan Document Services (both new business and existing clients)

  • Supports key initiatives and projects (including new products, new systems or enhancements) as needed.
  • Collaborates with other Plan Compliance and Financial Services team members and business partners to provide positive client experience and outcomes.
  • Plan Design & Consulting (provide expertise/recommendations for plan design changes based upon request)
  • Supports...
View Job Details

Compliance Analyst - Adviser Due Diligence

Compliance - Newark, NJ
  • Full Time Position
  • Job No: PRU000OX
Prudential Investments (“PI”) Compliance is seeking a compliance professional to join our regulatory due diligence group. Prudential Investments is an SEC registered investment adviser and serves as the investment manager or co-manager to the Prudential Mutual Fund Complex, which has approximately $257 billion in regulatory AUM as of December 31, 2015.  

The due diligence team provides compliance oversight of investment advisers and sub-advisers (collectively “advisers”) to products within Prudential's domestic businesses.   To facilitate this, the due...

View Job Details

Compliance Analyst

Compliance - Newark, NJ
  • Full Time Position
  • Job No: ANT0000O

Performs Compliance reviews related to Anti-Money Laundering and Office of Foreign Assets Control (OFAC) regulations.

Performs comparative analysis between information on policies, accounts, contracts, and transactions versus a variety of sanctions or high risk lists and/or basic AML/OFAC risks. Performs limited reviews related to client onboarding and transaction monitoring. Exercises judgment and discretion in the process of resolving all cases. Utilizes negotiating skills with business groups and field offices to obtain appropriate information/documentation to...

View Job Details
Search All Prudential Jobs