PGIM Fixed Income, a division of PGIM Inc., an SEC-registered investment adviser and a business unit of Prudential Financial, Inc. is seeking a senior compliance professional knowledgeable in fixed income compliance technology. PGIM Fixed Income has over $700 billion in assets under management, with a broad array of fixed income strategies and client types including institutional separate accounts, sub-advised mutual funds, CLOs, offshore commingled and separate client accounts. PGIM Fixed Income has a strong commitment to its customers, including mutual fund...
Compliance - Shelton, CT | Dresher, PAManager, Sales Administration (Centralized Review Team)
About the position
This position plays a key role ensuring that ISG Sales and Distribution has proper oversight and is in compliance with Prudential’s risk mitigation policies. This role is responsible for the team reviewing emails, instant messages, and social media for all registered representatives within Prudential Annuities as well as second level review and escalation for Prudential Individual Life. In addition, this role partners closely with Compliance on our non-cash compensation policy and tracking as well as business continuity, records retention, and liaison with Audit across Sales & Distribution. This role is a “designated employee” due to the sensitive nature of the information he/she sees and must manage.
Other responsibilities include:
• Responsible for strategically developing, communicating, implementing, and monitoring many of the administrative policies, procedures and activities for ISG Sales & Distribution. This involves partnering with the control functions to understand the need for and intent of each policy, evaluating how to best align that with Sales & Distribution processes, and then execution and communication.
• Manages Pramerica relationship for email review including QC of first level review, business owner for relationship within Sales & Distribution, and key liaison with corporate on email review system for ISG
• Coordinating and overseeing the design, development, maintenance and testing of business control programs for Sales & Distribution. Responsibilities include multiple discipline combinations from information security, business continuation, records management, vendor governance, and privacy, depending upon business needs.
• Responsible for elements of annual assessments and periodic certifications for Sales & Distribution to ensure that program elements are operating appropriately and effectively. May assist in the development and implementation of contingency plans programs (e.g., Loss of Key Vendor, Loss of essential employees, BISO governance duties, vendor due diligence, and governance of our records retention obligations).
• Ensures our BCP is up to date and tested periodically through the corporate BC schedule. Requires broad knowledge of business control principles, communication protocols, networking methods, environments and technologies.
• Privacy liaison for ISG Sales and Distribution as well as record coordinator and corporate card administrator
• Leads and/or participates on strategic, cross-functional where appropriate.
• Series 6 and 26 (or ability to obtain within 150 days)
• Ability to make decisions independently
• Strong management, coaching, and leadership skills
• People leadership skills strongly preferred
• Financial service experience required
• Experience with compliance, risk mitigation or regulatory review
• Experience with Microsoft Office Suite
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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