Posted in General Business 30+ days ago.
Type: Full-Time
Job Classification:
Corporate - Legal and CompliancePrudential Investment Management Services LLC (“PIMS”) is seeking an experienced individual to serve as a Vice President, Supervisory Oversight and Support, reporting to PIMS’ President. PIMS is an SEC-registered broker-dealer and FINRA member firm within Prudential Financial. Supporting 10 business units and functions, PIMS serves as underwriter, wholesaler, placement agent, self-clearing firm, and retailer of investment products manufactured by and sold though Prudential Retirement, PGIM Investments, Prudential Group Insurance, Jennison Associates, PGIM Quantitative Solutions, PGIM Fixed Income, PGIM Private Capital, PGIM Real Estate, and the Treasures Office. Additionally, associated persons of the firm work in service and support functions within the Enabling Solutions unit. PIMS operates primarily as a distributor to institutional and retail investors of mutual funds, ETFs, group variable products, closed-end funds, private funds, commercial paper, IRAs, and certain other Retirement products.
The Vice President, who will be a key member of the PIMS Center management team, will function within the firm’s federated supervisory model and will manage a small supervisory oversight team. In addition to directly supervising individuals and firm activity, they will assist and help guide firm supervision conducted within each of the 10 PIMS’ constituent businesses/functions. This individual will guide and help in the development, implementation and reporting of metric testing used to help ensure the firm’s compliant and effective operations at the center of the firm, within and across the constituent businesses. The Vice President will utilize their understanding of broker-dealer obligations, institutional and retail business to synthesize and evaluate reporting that flowing up from the businesses/functions, identify control gaps, and help strengthen applicable controls. Through this engagement, the Vice President will report to the President and the PIMS Operating Committee the state of supervisory affairs. They will help develop a standardized, risk-based strategic approach to risk, control, and supervisory oversight across the firm.
The Vice President will help assure a sound control environment across the firm, and as applicable assist in firm supervision within individual businesses/functions. They will support the identification of risks, conflicts, and control strengths and challenges. They will assist in the development, documentation and adherence with supervisory policies and procedures at the center of the firm, and within and across the constituent businesses as needed.
Key Responsibilities:
Position Qualifications:
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 accommodations.hw@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.technicalsupport@prudential.com to request assistance.
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