Compliance - Newark, NJ | Shelton, CT | Roseland, NJVP, Regulatory Product Compliance (*** relocation considered ***)

About the position

Do you want to be part of a smart, ambitious professional team working together to create a better future for our customers and our communities around the globe?!!

Become a part of Prudential

As one of the most recognizable financial services companies in the world, Prudential’s employees are building on our 140-year history of financial strength with a focus on innovation and transformation to meet tomorrow’s most complicated challenges. We are committed to growth and development in every single employee, and we see our business success as a direct result of our talent.

What will you do and what impact will you have?

Prudential’s Compliance organization is seeking a talented, business savvy and experienced Compliance Professional to join Prudential’s Compliance Department supporting new cross business unit initiatives arising from Financial Wellness strategies. This position will support the development of new products and services in Individual Solutions Group (“ISG”), Workplace Solutions Group (“WSG”) as well as the Customer Office.

This individual will be responsible for developing and implementing the compliance program for cross-business unit initiatives to facilitate compliance with relevant laws and regulations. Key to success is the ability to partner with cross-business operating teams and assist in the identification and assessment of risks in proposed business ventures.

This role requires a cross-functional view into Prudential’s business units. The candidate must possess experience with regulations regarding banking and financial technology and the related regulatory landscapes including the Consumer Financial Protection Bureau (“CFPB”) and the Financial Trade Commission (“FTC”). The candidate must possess good understanding of the various business models used to manufacture, distribute and service financial products and experience in leveraging technology to optimize compliance related controls and activities. The right person will have broad knowledge of regulations and regulators regarding Insurance, Broker-Dealers, and Registered Investment Advisors.

Key Responsibilities:

  • The role will design and implement a compliance oversight program for each of the new cross business unit initiatives that is effective in preventing, detecting and mitigating violations of applicable law or Prudential policies. The person will also develop awareness of enterprise-wide issues and be integral in proposing and implementing enterprise-wide solutions.
  • Responsible for directing, developing, implementing and maintaining compliance monitoring, new policies, procedures, reporting, testing, tracking and applying regulatory priorities as well as industry best practices.
  • Responsible for providing ongoing compliance support and advice for the day to day activities of the business unit as well as designing and implementing new strategies and initiatives.
  • Administer all compliance policies and procedures for the cross-business functions.
  • Promote, protect and set the tone to reflect the Company’s reputation for ethics, integrity and honesty in all dealings
  • Monitor the effectiveness of established compliance processes and controls; recommend and implement enhancements
  • Assist regulators, auditors, Compliance Dept. personnel, and business unit management with regulatory exams and inquiries
  • Integrate industry benchmarking and best practices through ongoing research, education and industry affiliations
  • Coordinate with other Compliance teams, Subject Matter Experts, Corporate Compliance, and other divisions as necessary

Qualifications

The Background and Experience you’ll need …

  • Strong competence and knowledge of securities and/or insurance regulations and operations.
  • Well-versed in products, investment process, securities operations, and proper governance practices
  • Extensive familiarity with CFPB rules and their implications, the examination process and trends from supervisory activities
  • 7-10 years of compliance, legal or related business experience.  
  • Experience initiating, directing, developing, implementing and maintaining written policies and procedures governing compliance activities
  • Understanding of customer transactions and communication, operational work flows, internet technologies, as well as development methodology for a complex multi-business environment
  • Ability to work and react quickly in a fast-paced, agile environment
  • Demonstrated ability to achieve desired results through intelligent risk taking
  • Proven communication skills (verbal, written, interpersonal) sufficient to interact with all levels of management
  • Strong relationship management and experience with direct leadership of teams
  • Ability to interpret rules and analyze complex issues
  • Ability to reach sound judgments and act quickly under tight deadlines while balancing competing priorities
  • Creative and strategic approach to problem solving and change management
  • Proven analytical and project management skills
  • Bachelor's degree required, Securities Licenses (e.g. Series 7, 63, 24) preferred, but not required advanced degree MBA or JD a plus

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 staffingagencies@prudential.com 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

Compliance Analyst

Compliance - Newark, NJ
  • Full Time Position
  • Job No: PGI0007W

PGIM Fixed Income, a division of PGIM Inc., an SEC-registered investment adviser and a business unit of Prudential Financial, Inc. is seeking a Compliance Analyst. PGIM Fixed Income has approximately $700 billion in assets under management across 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 investors, corporations, public retirement funds, Taft-Hartley...

View Job Details

Manager, Regulatory Supervision

Compliance - Newark, NJ
  • Full Time Position
  • Job No: OPS0003O

The Prudential Advisors, Corporate Operations and Control organization is seeking a highly motivated individual to assist in the execution of various control functions regarding the application of compliance policies and procedures, SEC and FINRA regulations and all applicable laws and regulations to the daily situations that might create significant risk of regulatory liability.   The primary responsibilities include educating and informing Financial Professionals/Supervisory Principals of the compliance supervisory aspects of their responsibilities, developing...

View Job Details

VP, Product Compliance (*** relocation considered ***)

Compliance - Newark, NJ | Roseland, NJ | Shelton, CT
  • Full Time Position
  • Job No: LCB0005I

Do you want to be part of a smart, ambitious professional team working together to create a better future for our customers and our communities around the globe?!!

Become a part of Prudential

As one of the most recognizable financial services companies in the world, Prudential’s employees are building on our 140-year history of financial strength with a focus on innovation and transformation to meet tomorrow’s most complicated challenges. We are committed to growth and development in every single employee, and we see our business success as a direct result of our...

View Job Details

Sr. Associate, Compliance

Compliance - Newark, NJ
  • Full Time Position
  • Job No: PGI0007R

Prudential Financial companies serve individual and institutional customers worldwide and include The Prudential Insurance Company of America, one of the largest life insurance companies in the United States. These companies offer a variety of products and services, including life insurance, mutual funds, annuities, pension and retirement-related services and administration, asset management, banking and trust services, real estate brokerage franchises, and relocation services. For more information, visit www.prudential.com.

PGIM, the global investment management...

View Job Details
Search All Prudential Jobs