Vice President
Posted on: 13 Oct 2021
Newark, NJ
Job Description
Job Description
Prudential’s Ethics and Compliance Department is seeking a Vice President, Regulatory Compliance Support and Oversight for RAS and Distribution Compliance. The position, which reports to the Chief Compliance Officer for RAS and Distribution Compliance, will be responsible for implementing a new governance model for managing regulatory and operational risks, as well as responsibility for leading a team responding to federal, state and SRO regulatory inquiries and examinations across three affiliated broker-dealers -Pruco Securities LLC, Prudential Investment Management Services LLC (PIMS), and Prudential Annuities Distributors, Inc. (PAD). The successful candidate will use expert operational knowledge of varied brokerage and advisory products and services, along with an understanding of the regulatory environment to cultivate/build a strong compliance and supervisory framework in ensuring that the businesses, its registered representatives, advisors, and team members are complying with regulatory requirements as well as internal policies and procedures. The ideal candidate for this position is highly experienced with investment advisor, broker-dealer and risk-based workflow analysis. The successful candidate will possess a proven track record of successful collaboration with senior business partners to drive execution of strategic objectives and be a driven, self-motivated and effective communicator that can successfully lead numerous initiatives with productive, results-oriented effectiveness.
Qualifications
Ten to fifteen years of compliance and/or legal experience related to broker-dealer and investment advisory services.
Extensive experience handling FINRA, SEC and state securities and insurance matters.
Establish and maintain a strong relationship with regulatory authorities.
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.
Undergraduate degree required, Advanced degree (JD or MBA) is preferred.
FINRA Series 7 and 24 registrations may be required.
Strong talent leader with experience in development, coaching and motivating staff.
Must be able to translate strategy into action with proven implementation skills and competency in leading execution.
Comfort with taking intelligent risks with the ability to make and advocate sound judgment recommendations and provide advice grounded in consumer advocacy, practical application of regulatory requirements.
Prudential
Newark, NJ
Prudential Financial, Inc., through its subsidiaries, provides insurance, investment management, and other financial products and services. It operates through PGIM, U.S. Workplace Solutions, U.S. Individual Solutions, and International Insurance divisions. The PGIM division offers an array of asset management and advisory services related to public and private fixed income, public equity and real estate, commercial mortgage origination and servicing, and mutual funds and other retail services to institutional, private, and sub-advisory clients, as well as to insurance company separate accounts, government sponsored entities, and the general account.
The U.S. Workplace Solutions division provides a range of retirement investment, and income products and services to retirement plan sponsors in the public, private, and not-for-profit sectors; and group life, long-term and short-term group disability, and group corporate-, bank-, and trust-owned life insurance in the United States, primarily to institutional clients for use in connection with employee plans and affinity groups.The U.S. Individual Solutions division develops and distributes individual variable and fixed annuity products, principally to the mass affluent and affluent markets; and individual variable, term, and universal life insurance products to the mass middle, mass affluent, and affluent markets in the United States.
The International Insurance division develops and distributes individual life insurance, retirement, and related products to the mass affluent and affluent markets in Japan, Korea, and other foreign countries, as well as middle income and mass affluent markets. The company offers its products and services to individual and institutional customers through its proprietary and third-party distribution networks. Prudential Financial, Inc. was founded in 1875 and is headquartered in Newark, New Jersey.
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IndustryInsurance
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No. of Employees50,492
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Website
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Jobs Posted2329
