Audit Manager, Regulatory Compliance Risk

  • Company: Prudential
  • Location: Newark, New Jersey
  • Posted: December 06, 2017
  • Reference ID: OPE0003R
Are you looking for an opportunity to work in a fast-paced, highly diversified environment that allows you to apply your expertise, assess risk, plan strategically and lead and execute audits of Prudential’s compliance risks? If so, we are looking for an experienced compliance professional or auditor with experience in the insurance/financial services regulatory compliance arena. Candidates with related experience and/or insurance product knowledge should apply.

The Ideal Candidate
Are you fully capable of participating in or leading all aspects of an audit engagement, including planning, risk and control analysis, testing, issue development and reporting? Do you have a solid familiarity with applicable insurance/financial services regulations governed by SEC, FINRA, State Departments of Insurance, etc.? Are you a project manager and person with the innate ability to collaborate with and influence business leaders? If so, we want to meet you!

As an Audit Manager you will be responsible for the following:
  • Working with a team in the development and implementation of a comprehensive risk based audit approach to ensure adequate coverage of key regulatory compliance risks across the domestic and International businesses
  • Participating in or leading audits of key regulatory compliance risks, as well as audits of the Law, Compliance, Business Ethics & External Affairs (LCBE) functions
  • Developing compliance related risk, control and audit testing guidance to ensure consistency of audit approach across the company’s various businesses

What will my Role at Prudential look like?
Prudential is a company of smart, ambitious professionals working together to create a better future for our customers and our communities around the globe. As one of the most recognizable financial services companies in the world, our employees are building on our 140-year history of financial strength with a focus on innovation and transformation to meet tomorrow’s most complicated challenges. We are committed to growth and development of every single employee, and we see our business success as a direct result of our talent.
The Internal Audit Department serves to protect the Company by improving the management of risks and the effectiveness of the control environment at the business, function and enterprise levels through valued independent assessments and advice on governance, risk and control. Our structure mirrors the business system which allows us to view risks vertically and horizontally – providing opportunities to generate value within and across our businesses and corporate functions.
About You
You are very organized and are fully capable of managing priorities and achieving absolute deadlines. You exhibit professional presence and energy and are collaborative, with the strength and confidence to serve as an independent and objective assessor of Regulatory Compliance related risks and controls across the organization. You enjoy data analysis and are looking for an opportunity to increase your exposure in this space.

Qualifications:
Qualifications
  • 6 years of insurance/financial services experience in a regulatory compliance or audit/control function
  • Experience working at and/or interacting with financial services/insurance regulators (SEC, FINRA, DOI, DOL, etc.) is highly desirable
  • Experience working effectively both independently as well as in a team environment
  • Excellent communication skills, both oral and written, and ability to confidently discuss audit issues with management
  • Ability to partner effectively with management and control partners
  • Knowledge of risk assessment, control analysis and auditing/testing techniques
  • Business related Bachelor's degree is required.
  • Designations or licenses in compliance or audit related disciplines is a plus (CIA, CFE, CAMS, CPA, AIRC, CRCP, Series 6 or 7 license)
Ability to travel to local locations outside of Newark, on occasion, and work outside of "normal" business hours when interactions with our international offices arise.

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