Vice President, Chief Compliance Officer at Prudential Ins Co of America in Newark, New Jersey

Job Description:

Prudential’s Ethics and Compliance Department is seeking a Vice President, Chief Compliance Officer for Pruco Securities LLC. This position will report to the Chief Compliance Officer for Retail Advice and Solutions (RAS) and Distribution and will have responsibility for the oversight of the teams supporting the broker-dealer and investment advisory activities of Pruco Securities, LLC (Pruco).  The individual is accountable for the design and execution of the compliance program for Pruco and will assume primary responsibility for ensuring compliance with SEC, FINRA and state rules/regulations, including opining on the adequacy and effectiveness of compliance processes. As a member of the firm’s senior leadership team, the successful candidate will work closely with the RAS CCO and senior management in communicating the company’s culture of compliance and evaluating business risk in accordance with policies, goals and objectives established by the organization. 

The ideal candidate for this position is highly experienced with investment advisor, general securities, broker-dealer, and insurance products and services. In addition, the successful candidate will possess strong leadership skills, an entrepreneurial spirit, and a proven track record of successful collaboration with senior business partners.   

The successful candidate will demonstrate a thorough understanding of the compliance function, including responsibility for the coordination and timely updates of rule changes, management reports, policies, procedures, compliance reminders, as well as responses to regulatory inquiries and examinations.  In addition, the successful candidate must stay abreast of new products, technologies and applications as well as their implications for assigned business areas. The successful candidate will be one of the contacts for FINRA, SEC and state regulatory matters.

Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom.

Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America. Leveraging its heritage of life insurance and asset management expertise, Prudential is focused on helping individual and institutional customers grow and protect their wealth. The company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset management, and real estate services.

We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit www.prudential.com to learn more about our values, our history and our brand.

Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status , medical condition or any other characteristic protected by law. 

The Prudential Insurance Company of America, Newark, NJ and its affiliates.

Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at staffingagencies@prudential.com for more information about doing business with Prudential.

PEOPLE WITH DISABILITIES:
If you need an accommodation to complete the application process, which may include an assessment, please call (800) 433-8960, prompt 4 or email accommodation.h&w@prudential.com.

Please note that the above number and email are solely for individuals with disabilities requesting an accommodation.  If you are experiencing a technical issue with your application or an assessment, please email careers@prudential.com to request assistance.