Analyst, Regulatory Supervision Job Listing at Prudential in Shelton, CT
The incumbent must possess a high degree of experience, knowledge, and understanding of applicable regulatory requirements and corporate policies as well as a solid understanding of the Prudential Annuities organization and its products. The purpose of this function is to consolidate the primary email review responsibilities currently conducted by senior level FINRA Registered Principals within the Sales organization in order to improve the quality, expedite the response time and identify trends in relation to email reviews. Leveraging the requisite skill-set and independent judgment, the incumbent must comfortably and professionally initiate discussions and resolutions with senior-level Sales associates in order to quickly resolve identified issues with confidence and autonomy. Incumbent must be FINRA Series 26 Investment Company Products/Variable Contracts Limited Principal licensed. The incumbent will exercise a high degree of independent judgment and sophistication in the performance of this function. They will review emails with a high level of independence and will possess the skills to interpret issues and escalate to Senior Management. In addition, the incumbent will be expected to develop and present their analysis and interpretation of the data while providing appropriate solutions to identified issues and trends.
FINRA Series 6 and 26 required
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