Compliance Director, Testing

Prudential Financial, Inc.

 

The successful candidate will be responsible for assistance in developing, implementing, supervising and evaluating the testing strategy for the Investment segment (Retirement and Investments) for Prudential's Compliance Testing Unit.  The individual will report to the head of the Compliance Testing Unit (CTU) and work closely with CTU staff and senior compliance and legal officers as well as business unit and corporate center liaisons, to implement appropriate risk based testing protocols and provide regular and timely reporting to applicable business and compliance management. 

 

With the supervision of the head of CTU, responsibilities will include:

• Supervising compliance professionals responsible for regulatory testing activities in Prudential's businesses, including inspections of registered broker-dealers and compliance testing and reporting pursuant to Rule 38a-1.   
• Developing, implementing, evaluating and enhancing compliance testing policies, procedures and protocols, including consistency, where possible, for testing practices including risk assessment and identification of key controls as well as workpaper standards and reporting.
• Coordinating with the internal/external Audit teams to leverage and review test findings.
• Escalating issues, as appropriate, in order to provide recommendations to senior management and boards for improvements in the control structure.
• Providing testing consultation and guidance on applicable legal and regulatory requirements, including identifying major risk factors, and advising business management on effectively monitoring, detecting and reporting potential regulatory violations.
• Providing additional support to the compliance organization, including the design and execution of testing protocols targeted to address specific regulatory concerns or areas of focus, generally across multiple business units.

• 5+ years of compliance, legal and/or audit experience, primarily in an asset management organization or other financial services company.
• Prior experience in managing staff required.
• Strong subject matter expertise in Investment Adviser, Broker-Dealer and mutual fund/variable product regulation required.
• Knowledge of Retirement and Investment businesses a plus.
• Strong analytical, organizational and problem solving skills.
• Excellent judgment and the ability to handle highly confidential business matters in a fair and consistent matter.
• Strong relationship management, interpersonal and leadership skills, including experience in dealing with senior management.
• Excellent presentation, oral and written communication, coaching and facilitation skills.
• Proven ability to manage and balance multiple priorities.
• Highly motivated and able to work independently as well as in a team.
• BA/BS Degree preferred.
• Current or prior FINRA Registrations (Series 6/26 or Series 7/24) a plus.
• Travel between Prudential offices may be required.

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 and all qualified applicants will receive consideration for employment without regard to race, color, sex, disability status, protected 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 staffingagencies@prudential.com for more information about doing business with Prudential.

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