Vice President
Posted on: 10 Jan 2022
Newark, NJ
Job Description
Qualifications
Seven to ten 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
