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Vice President, Deputy Chief Compliance Officer Prudential Advisors

Company: MCCA
Location: Newark
Posted on: May 19, 2019

Job Description:

MCCA Hot Jobs PRACTICE AREAS: Compliance & Ethics, Financial Services JOB TYPE: In-House Company: Prudential Financial, Inc. Position: Vice President, Deputy Chief Compliance Officer Location: Newark, NJ Description: The Vice President, Deputy Chief Compliance Officer Prudential Advisors will have responsibility for the day-to-day oversight of each of the following compliance teams: broker-dealer oversight (responsible for maintaining broker-dealer policies and procedures and support for the broker-dealer); investment advisory compliance team (supporting investment advisory business through surveillance and maintenance of policies and procedures); regulatory response team (addressing FINRA and state securities inquiries); compliance surveillance team (providing monitoring of sales practice and trending on other relevant broker-dealer activities); and the pre-hire team (background check and other registration activities). The team will include approximately 20 individuals with two Compliance Vice Presidents reporting directly. In addition, the Deputy CCO will be a member of Prudential Advisors' senior leadership team and will assist the CCO of Prudential Advisors in setting and executing on strategic objectives for the Prudential Advisors Compliance team. This position will report to the Chief Compliance Officer Prudential Advisors. The successful candidate will represent Prudential Advisors with regulators including FINRA and the SEC. Further, the successful candidate will serve in a technical expert with the Prudential Advisors sales force. 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 have a proven track record of leadership and successful collaboration with senior business partners. Contact: http://jobs.prudential.com/job-description.php?jobReqNo=PRU000VK Qualifications: * At least 10 years broker-dealer experience with all aspects of compliance program responsibilities. * Prior CCO or senior compliance experience * Proven track record of leadership and execution on strategic priorities * Experience with FINRA, state securities and SEC matters * Wirehouse experience * Undergraduate degree required, Advanced degree (JD or MBA) preferred * A Series 7 And 24 License required or obtained within One-Hundred and Twenty Days (120) of Hire * Strong talent leader with experience in development, coaching motivating staff * Strong risk assessment and mitigation skills and experience * Proven experience as a process owner * Strong project management skills (in process and systems projects) and management presence * Strong information gathering and business analysis skills * Ability to work independently and effectively deal with multiple departments and employees at all levels * Excellent oral and written communication skills * Must be able to translate strategy into action with proven implementation skills and competency in leading execution. * Comfort with taking intelligent risks with the ability to make and advocate sound judgment recommendations and provide advice grounded in consumer advocacy, practical application of regulatory requirements and sound business practices.* At least 10 years broker-dealer experience with all aspects of compliance program responsibilities. * Prior CCO or senior compliance experience * Proven track record of leadership and execution on strategic priorities * Experience with FINRA, state securities and SEC matters * Wirehouse experience * Undergraduate degree required, Advanced degree (JD or MBA) preferred * A Series 7 And 24 License required or obtained within One-Hundred and Twenty Days (120) of Hire * Strong talent leader with experience in development, coaching motivating staff * Strong risk assessment and mitigation skills and experience * Proven experience as a process owner * Strong project management skills (in process and systems projects) and management presence * Strong information gathering and business analysis skills * Ability to work independently and effectively deal with multiple departments and employees at all levels * Excellent oral and written communication skills * Must be able to translate strategy into action with proven implementation skills and competency in leading execution. * Comfort with taking intelligent risks with the ability to make and advocate sound judgment recommendations and provide advice grounded in consumer advocacy, practical application of regulatory requirements and sound business practices.Contact: http://jobs.prudential.com/job-description.php?jobReqNo=PRU000VK

Keywords: MCCA, Newark , Vice President, Deputy Chief Compliance Officer Prudential Advisors, Executive , Newark, New Jersey

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