The Compliance Analyst will support multiple activities within the Customer Office and Enabling Solutions Compliance Team. Customer Office and Enabling Solutions are US Businesses that work together with and on behalf of Prudential’s domestic businesses to provide innovative business solutions and cross business collaboration in pursuit of improving the customer experience.
The successful candidate will work closely with Business Unit Compliance Officers across Prudential’s domestic businesses regarding regulatory and compliance requirements associated with those businesses. The candidate will also be required to work with Law and Risk Management to identify compliance issues, help assess risks, and recommend solutions to business partners.
· Manage licensing and registration requirements and structure within both the Customer Office and Enabling Solutions. Work with Broker-Dealer compliance staff and CCOs to ensure appropriate FINRA registration and supervisory structure.
· Provide Compliance support for multiple routine business activities and large scale projects / initiatives that are being executed by the Customer Office and Enabling Solutions on behalf of one or more Prudential businesses.
· Collaborate with multiple constituencies and work to minimize the impact of dealing with multiple compliance teams so that the business partners (Customer Office and Enabling Solutions) can move quickly to effectuate change.
· Develop and maintain the Compliance Risk Assessment documentation for Customer Office and Enabling Solutions
· Assist in maintaining records and regulatory documentation for Prudential Customer Solutions.
· Help coordinate the distribution, review and resolution of Regulatory Alerts that have an impact on the Customer Office and Enabling Solutions.
· Provide day to day compliance support and advice to various areas with the Customer Office and Enabling Solutions.
· Assist in the development, implementation and execution of a compliance plan, including compliance policies, standard operating procedures, supervisory procedures and test plans.
• FINRA Series 6 preferred or required within 3 months of hiring
• Bachelor's degree preferred or commensurate business experience
• Strong collaboration competency with a willingness to partner with compliance team members and business associates at all levels.
• Comfort with the concept of assessing regulatory risks and ability to make sound recommendations. Grounded in the principals of consumer advocacy, practical business application of regulatory requirements and sound business practices.
• Compliance and / or business experience with one or more of the following Prudential businesses or commensurate experience within another financial firm:
o Individual Life Insurance
o Group Insurance
o Retirement Plans
o Mutual Funds
o Registered Investment Adviser
• Knowledge of regulatory environment and some level of specific regulatory requirements for the Financial Services industry
• Ability to multi-task across several assignments while understanding how best to prioritize work
• Excellent written and verbal communication skills.
• Able to travel as needed, mainly to other Prudential sites.
A little about us:
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