Director Compliance
Company: Prudential Annuities Distributors (PAD)
Location: Newark
Posted on: February 25, 2021
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Job Description:
The Compliance Testing Unit ("CTU") is a centralized unit within
the Global Compliance Risk Management function, primarily
responsible for regulatory required testing of-- Prudential's three
Broker Dealers, Pruco Securities LLC ("Pruco"), Prudential
Investment Management Services, LLC ("PIMS") and Prudential
Annuities Distributors, Inc. ("PAD"). Testing activities for the
Broker Dealers include FINRA Rule 3110(c) (Office of Supervisory
Jurisdiction ("OSJ") and Branch Office Inspections) and 3310
(Anti-Money Laundering Compliance Program), as well as testing for
certain registered investment companies and investment advisors
related to Separate Accounts in accordance with SEC Rule 38a-1. The
Director, Compliance - Regulatory Testing, position will report to
the Vice President of CTU and will be responsible for transforming
and evolving the existing broker dealer and 38a-1 testing program,
setting the organization's future vision and leading the team
day-to-day. Responsibilities include:-- -- Design and implement an
effective, risk-based broker dealer testing program for Pruco, PIMS
and PAD to assist in detecting and preventing violations of, and
achieving compliance with, applicable securities laws and
regulations, and with appliable FINRA rules; meeting requirements
for branch office inspections -- In collaboration with Business
Unit Compliance, design and implement an effective, risk-based
Separate Accounts SEC 38a-1 testing program -- Drive implementation
of automated testing for common scope areas using data analytics
and visualization tools -- Through ongoing research and
participation in industry trade groups, continuously integrate
benchmarking and best practices into the overall testing program
and liaise with the company's External Affairs function to advocate
for change within the industry, when and where required-- -- Design
and implement a robust governance and oversight process for vendor
provided off-shore testing resources, utilized to augment staff and
subject matter expertise, to ensure appropriate management of
day-to-day activities and overall relationship management-- --
Develop the annual CTU testing plan, in collaboration with the
Pruco, PIMS and PAD Chief Compliance Officers (CCO) -- Lead/oversee
and provide strategic leadership for all aspects of the Pruco,
PIMS, PAD and Separate Accounts SEC 38a-1 testing, including: --
Assignment of team members to each inspection/review, including
on-shore and off-shore team members, focusing on required skills
and growth opportunities for the staff-- -- Approving the scope of
each review, ensuring they are risk based, incorporate adequate
coverage of broker dealer regulations/requirements and include
re-performance and outcome/data analytics substantive testing --
Supervising and supporting the testing team day-to-day, including
review and approval of final workpapers/test results to ensure the
testing methodology is followed and the inspection/review deadlines
are met timely -- Review all issues raised by the testing team
prior to issuance of final reports to ensure they have been
appropriately risk rated and management's corrective actions
address the root cause of the issue -- Issue final inspection
reports to management -- Improve existing metrics and dashboard
reporting to proactively communicate to business management and the
CCOs the status of CTU's testing, any identified control gaps,
issue trends/themes and areas of increased risk-- -- People
leadership, including developing, coaching and managing a team of
Managers and Analysts Required background: The successful candidate
will have a minimum of 7-10 years of compliance, risk management
and/or audit experience. The successful candidate will bring
strategic leadership, technical compliance expertise with superior
knowledge, skills and experience in risk management and managing a
team of both on-shore and off-shore resources. Additional specific
requirements include: -- Bachelor's degree or equivalent experience
required, and JD, MBA or advanced degree preferred -- 7+ years of
compliance, risk management and/or audit experience, primarily
broker dealer related -- Series 7, 24 preferred or willing to
obtain in 180 days -- Lead organizational transformation in areas
of effectiveness and improvement and being solutions-oriented --
Must be highly collaborative, open-minded and able to work with and
influence others without having direct authority -- Comfortable in
ambiguity, self-directed and an agent and advocate for change --
Strong people leadership/talent management skills to effectively
lead and train both on-shore and off-shore resources -- Strong
knowledge and understanding of applicable FINRA and SEC
requirements and its application to a testing program -- Ability to
quickly learn and understand the complex business model, products
and applicable regulations -- Strong risk management skills and
demonstrated experience with following a defined methodology --
Proven track record of effectively working with data to drive
automated testing -- Proven analytical, planning, problem solving,
and decision-making skills -- Excellent verbal and written
communication, presentation and interpersonal skills to interact
and quickly gain credibility and build collaborative working
relationships across multiple business units -- Demonstrated
ability to develop relationships and collaborate with individuals
across businesses and control functions -- Results leadership to
create annual testing plan and drive completion of the plan --
Highly organized and strong project management and prioritization
skills -- Proficient in MS Office
(Outlook/Word/Excel/Access/PowerPoint) and Data Analytic Tools -
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. Posted 3 Days
Ago Full time COM0008X About Us We are a company of smart,
ambitious professionals working together across a multitude of
disciplines. Together, we are building a better financial future
for our customers and our communities around the globe.
Keywords: Prudential Annuities Distributors (PAD), Newark , Director Compliance, Executive , Newark, New Jersey
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