Compliance Manager, Marketing Review Job Listing at Prudential in Woodbridge, NJ

Insurance, Finance

The Marketing Review Manager is responsible for ensuring all advertising and sales materials are compliant with applicable laws, regulations, and company policies. This position will review, approve, recordkeep and file with the applicable regulatory authorities marketing material produced to support Prudential Retirement's lines of business, including 401(k), defined benefit, and non-qualified plans.  The Manager will work closely with business partners, Corporate Compliance, and the Law Department to continuously monitor controls and to develop process improvements related to the submission and review of materials, and will be assigned projects designed to enhance the overall department compliance program.  
 
Primary Responsibilities
 

• Manage the day-to-day work flow of marketing submissions to ensure a timely turnaround of materials;


• Ensure all regulatory requirements related to advertising and sales literature, including content standards, regulatory filings and recordkeeping are met


• Conduct periodic quality review programs to ensure appropriate usage of sales material ("use as intended");


• Meet regularly with business managers to share metrics and best practices;  


• Conduct periodic training of business personnel on relevant advertising regulation topics;


• Participate in other compliance projects and activities in support of the Retirement business and greater Prudential enterprise.

• 3 to 5 years experience in Compliance, or similar function.
• Broad understanding of advertising regulations relating to insurance and financial products, as well as SEC, FINRA, and State Department of Insurance requirements.
• Understanding of retirement related product lines including DC, DB, NQ, and IRA, and their underlying investments including mutual funds and registered Excellent project management, communication and organizational skills.
• Currently possess Series 6 and 26 (Series 7 and 24 preferred).