Compliance - Newark, NJ Director, Compliance

About the position

Pruco Securities, LLC (Pruco) is a subsidiary of The Prudential Insurance Company of America.

Pruco providing investment advisory services and programs as an SEC-registered investment adviser under the marketing name Prudential Financial Planning Services (“PFPS”).

Pruco is also an SEC-registered broker-dealer, under the marketing name Prudential Advisors.

Pruco offers retail securities brokerage services, engaging in the business of selling variable life insurance, variable annuities, mutual funds, Section 529 College Savings Plans and general securities. Prudential Advisors’

field force comprises approximately 3,100 financial professionals approximately half of which are registered as Investment Advisory Representatives (IARs). We have representation in 49 of the 50 states (excluding Alaska). Four territories form 50 parent agencies and approximately 67 detached agency offices. Many of our financial professionals (about 50 percent) are located in private offices throughout the United States.

This position will provide compliance support for Prudential Advisors’ Investment Advisory business. The successful candidate will work closely with the business to provide compliance oversight of all aspects of the Investment Advisory business, including testing and tracking of regulatory compliance requirements. The advisory support will include product development, ADV updates and filings as well as periodic review of policies and standard operating procedures.

This position is a highly collaborative role reporting to the VP Compliance Officer. The successful candidate will work closely with other Compliance associates across Legal, Compliance, and Business Ethics (LCBE).

Additionally, the successful candidate will be responsible for ongoing maintenance of Pruco’s IA Compliance manual as well as assisting the business in creating IA Sales Practice and Practice Management training for our IARs and their supervisors


Seven to Ten Years’ Experience—In A Retail Investment Advisor Environment-- With All Aspects Of The Compliance Program Rule, as Set Forth Pursuant To SEC Rule 206(4)-7

Such Experience to Include:

Third-Party Managed Money Programs

Drafting of ADV Disclosure Documents

Interfacing with Individual IARs with Respect To Practice Management and Sales Practice Issues

Design and Conduct Of Rule 206 Annual Compliance Program Reviews

Strong risk assessment and mitigation skills and experience

Proven experience as a process owner

Strong project management skills (in process and systems projects) and management presence

Strong information gathering and business analysis skills

Ability to work independently and effectively deal with multiple departments and employees at all levels

Excellent oral and written communication skills with prior experience writing SOPs

Undergraduate degree preferred, Advanced degree (MBA) preferred. A Series 7 and 24 License required or obtained within 90 days of hire. A Series 65 License is also preferred.

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.