On a daily basis, the Regulatory Fulfillment Specialist is responsible for the creation of regulatory materials as a result of requests received for product service adds, new business, merger and acquisition, fund changes (global and client directed), annual notice requirements as well as notifications directed by Prudential legal counsel. In addition, they are responsible for large volume notice requirements such as Annual Notices and strategic projects. This responsibility involves project management, testing system enhancements, volume and capacity management and collaboration with our internal partners to meet deadlines for individual projects and notice production. This position supports organizational initiatives that require participant notification. The associates within this team are subject matter experts that provide guidance on regulatory protocols (this is not Compliance and/or Risk level decisions).
- Knowledge of DOL and IRS guidelines for participant notification, a plus.
- Knowledge of Prudential products and services that require notification, a plus.
- Understanding of Plan Document designs that require notices such as QDIA, ACA, EACA, QACA and SH.
- Understanding of Investment line-up and changes that may result in required notification to a participant.
- Ability to work independently and proactively manage the timing and execution of the notices, this requires strong analytical skills along with ability to multi-task.
- Ability to utilize tools for composition of the notices – may include templates, Word and other Office Applications.
- Ability to communicate/collaborate with various business partners at all levels in the organization.
- Ability to review workflow and processes to streamline and enhance procedures. Strong continuous improvement mindset.
- No licensing required. Notices are created from a compliance approved template.
A little about us:
Our support of the military includes providing civilian employment opportunities to transitioning service members and military spouses.