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Director, Regulatory Risk at Prudential

Posted in Accounting 30+ days ago.

This job brought to you by eQuest

Type: Full-Time
Location: Newark, New Jersey

Job Description:

Role Summary

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 of Prudential’s global regulatory risks related to sales practices, marketing, and the customer experience?  If so, we are looking for an experienced professional with experience in regulatory risk or compliance. Candidates with related experience and/or strong product knowledge should apply.


The Ideal Candidate

Are you fully capable of leading and working with an audit team, including planning, control analysis, testing, issue development and reporting?  Do you have a solid familiarity with financial services regulations governed by FINRA, SEC, and/or State Departments of Insurance; Are you a proven leader, and person with the innate ability to collaborate with and influence business leaders?  If so, we want to meet you!


As the Regulatory Risk Director, you will help lead establishment and implementation of an Audit Approach and Plan to ensure adequate audit coverage of Sales Practice, Marketing, and Customer Experience Risks globally across Prudential. You will have the opportunity to influence our approach and perform audits of key sales, advisors, broker-dealer, supervisory, compensation, relationship management, marketing, sales desks, and other distribution channel support functions. This role will work across all the domestic businesses, with some international business interaction.   


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 organized and are fully capable of managing priorities and achieving absolute deadlines.  You exhibit professional skepticism and have the ability to spot or monitor issues and trends throughout the year with the goal of developing and communicating a view relating to the effectiveness of the existing processes, controls, and emerging risks.  You enjoy collaborating and can establish and maintain relationships with key stakeholders within our business and corporate functions.  You enjoy data analysis and are looking for an opportunity to increase your exposure in this space.

Requirements & Qualifications


8+ years of experience in any of the following is highly desirable:

§  Financial Service Sales

§  FINRA, SEC or DOI Regulator

§  Broker Dealer Legal or Compliance


Licenses such as Insurance or Securities, or designations including one or more of the following: CLU, ChFC or CFP designation are a plus but not required. A CPA or CFA would also be a plus.


Ability to travel to locations outside of Newark on occasion and work outside of “normal” business hours when interactions with our international offices arise