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Governance & Controls Specialist at Prudential

Posted in General Business 30+ days ago.

This job brought to you by eQuest

Type: Full-Time
Location: Hartford, Connecticut

Job Description:

Prudential Retirement?s mission and strategy will focus on building lasting relationships with our Individual customers. The Individual Segment Solutions (ISS) team delivers education, solutions and recommendations to our individual customers in order to help fulfill their overall financial wellness needs. The Governance & Controls team within ISS oversees centralized governance and control functions required to support ISS in their endeavors to enable the delivery of broad holistic individual & benefit financial solutions that support both Retirement and broad Prudential Financial objectives. This role will support the important work of this team and be responsible for the following:



  • Performing day to day tasks pertaining to Complaint Handling (logging, tracking, research, escalation, and reporting/trending). This includes representing ISS as a subject matter expert in division wide and enterprise level forums as needed and handling more complex cases, such as executive and regulatory complaints.

  • Supporting other Governance/Control functions within the team to ensure suitable cross training/business continuity coverage. This includes but is not limited to audit support, policy and procedure management and various risk management functions (i.e. business continuation planning, records administration, privacy assessments/reporting, vendor governance, etc).

  • Performing governance activities aimed at prevention of Fraud at the individual customer level, including assessing trends, recommending, implementing and ensuring organizational readiness (development of relevant internal training and communications) on new control measures aimed at addressing risks.

  • Serving as a FRAUD SME and training other team members as needed; Acting as a liaison to the WSG Information Security Team and interfacing with client facing teams as needed.

  • Performing day to day Fraud and Suspicious Activity research, completing inbound and outbound customer calls, making decisions which directly impact customer experience and risk; Performing tracking, reporting and follow up activities, including interfacing with control partners (such as investigative units, privacy office, risk, law, technology and information security), preparing action plans to address any gaps, conducting spot testing to validate controls, and sharing feedback with management.


  • Bachelor?s degree or equivalent work experience

  • Minimum of two years of financial services experience with a focus on institutional individual customers (retirement product/industry knowledge preferred)

  • Appropriate securities licenses (FINRA 6/63) either upon hire or within 120 days of hire

  • Experience with detecting and handling suspicious activity and fraud attempts at the direct to consumer level, including building and testing of fraud prevention controls

  • Customer service experience, including direct contact with customers over phone and via written communications

  • Excellent verbal and written communication skills

  • Proficiency in dealing with customers issues in both a routine and complex environment

  • Ability to multi-task effectively with a proven track record of working independently and delivering against aggressive deadlines

  • Ability to adapt quickly to changes in the environment

  • Experience in handling customer complaints desired, experience with regulatory and executive complaints a plus

  • Experience with internal and external audits a plus

  • Strong ability to collaborate and work across teams/business units without formal authority

  • Attention to detail and strong analytical/problem solving skills, including the ability to assess data and determine important and actionable tactics

  • Ability to effectively identify, manage and mitigate risks.

  • Knowledge of MS Office suite (e.g. Project, PowerPoint, Excel, Word, Outlook, Sharepoint)