Compliance Manager Job Listing at Prudential in Roseland, NJ

Insurance, Finance

This Compliance Manager is responsible for providing support to Group Insurance business leaders and staff on a wide variety of regulatory and compliance matters, including compliance with FINRA Rules, SEC Rule 38a-1, and related matters.  The incumbent will be responsible for the coordination and monitoring of compliance strategies within the Group Insurance business unit to meet compliance objectives.    This position requires supervisory responsibility over one Associate Manager.   This position will report directly to the Director, Compliance.
 
Specific Responsibilities may include:

• Participate in the development, implementation, maintenance and evaluation of comprehensive compliance policies and procedures.


• Participate in the development and implementation of training programs throughout Group Insurance.


• Provide compliance support on Group Life, Group Variable Life, Voluntary, and Private Placement products.


• Provide compliance oversight and monitoring with respect to Group Insurance Sales Offices


• Provide compliance support on topics such as Lobbying, Pay to Play, FCPA, and G&E.


• Participate in Compliance or Enterprise- wide initiatives.

 

• Bachelor's degree preferred
• 3-5 years of compliance, risk or audit experience a plus.
• Knowledge of Broker-Dealer Regulations and experience with Rule 38a-1 compliance programs.
• Knowledge of insurance products, including variable products, and applicable laws and regulations.
• Possess FINRA registered representative (Series 6 & 26) registration.
• Excellent organizational skills with attention to detail.
• Ability to reach sound judgments and act quickly under tight deadlines.
• Experience in staff management
• Experience in metrics reporting
• Proficiency in Microsoft Excel and Cognos a plus
• Strong verbal and written communication skills.