Job Description

Prudential Retirements mission and strategy focuses on building lasting relationships with our individual and institutional customers. The Governance, Regulatory Operations & Oversight team provides oversight of centralized governance and control functions required to support Prudential Retirement in its endeavors to enable the delivery of broad holistic individual & benefit financial solutions that support both Retirement and broad Prudential Financial objectives. This role of Regulatory Supervision Specialist will support the important work of this team and be responsible for the following:

* Conduct Supervisory Principal (SP) work to ensure adherence to all regulatory requirements and internal processes/procedures. This includes, but is not limited to, reviews of suitability, account/transaction, written correspondence and emails.
* Tracking and trending analysis conducted on items reviewed that are not in good order; communication of trends and details as needed, provided to management.
* Maintenance of Written Supervisory Procedures (WSPs) and general procedural workflows.
* Participation in various SP forums.
* Help ensure team and department adherence to applicable regulatory rules and requirements, such as DOL Fiduciary Rule (Best Interest Contract reviews, call monitoring reviews, etc.).
* Supporting internal/external audits and regulator-related activities. This includes, but is not limited to, providing requested information/reports timely, assisting with audit testing, attending required meetings, reviewing and supporting action plans, SOC 1 reviews, OSJ inspections, Separate Account Policy testing, Regulatory Inquiries and Exams (FINRA, SEC, DOL, OCC, IRS).
* Supporting other functions within the team to ensure suitable cross training/business continuity coverage and appropriate risk management.
* Interfacing with control partners (Risk, Compliance, Law, etc.) on various projects and initiatives as needed.

Qualifications:

* Bachelors degree or equivalent work experience
* FINRA, SEC, DOL regulatory/compliance knowledge required; banking regulatory/compliance knowledge a plus
* Minimum of two years of Supervisory Principal experience with a focus on institutional and retail individual retirement customer accounts strongly preferred
* Appropriate securities (FINRA 7/24) and insurance licensing required
* FINRA Series 4 Options Principal/Series 53 Municipal Securities Principal a plus
* Strong interpersonal skills, written and verbal skills, and ability to work effectively as part of a team
* Prior customer service experience preferred, including direct contact with customers over phone and via written communications
* Ability to multi-task effectively with a proven track record of working independently and delivering against aggressive deadlines in both a routine and complex environment
* Ability to adapt quickly to changes in the environment
* Experience with internal and external audits desired
* Strong ability to collaborate and work across teams/business units without formal authority
* Attention to detail and strong analytical/problem solving skills, including the ability to assess data and determine important and actionable tactics
* Ability to effectively identify, manage and mitigate risks.
* Knowledge of MS Office suite (e.g., PowerPoint, Excel, Word, Outlook, TEAMS

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Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom.

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, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status , medical condition or any other characteristic protected by law.

The Prudential Insurance Company of America, Newark, NJ and its affiliates.

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.

PEOPLE WITH DISABILITIES:
If you need an accommodation to complete the application process, which may include an assessment, please call (800) 433-8960, prompt 4 or email accommodation.h&w@prudential.com.

Please note that the above number and email are solely for individuals with disabilities requesting an accommodation. If you are experiencing a technical issue with your application or an assessment, please email careers@prudential.com to request assistance.