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.
- 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 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.
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