Director, Compliance Job Listing at Prudential in Hartford, CT

Insurance, Finance

This position will have responsibility for multiple activities within the Prudential Retirement Compliance team, including providing compliance support and advice to both institutional and retail sales and relationship management areas within Prudential Retirement.

This position includes management responsibilities, and also has responsibility for compliance monitoring, compliance training, implementation of policies and procedures and forensic testing. The ideal candidate for this position is experienced with both broker dealer and state insurance requirements.

The candidate must demonstrate excellent judgment, strong interpersonal skills, and a collaborative, approach in an ever changing environment. The candidate will require creativity to develop solutions to compliance and organizational issues for which no current approach may exist.

Principal Responsibilities
Serve as compliance liaison for:
Client Relations and Business Development Teams, Key Account and Relationship Management Teams, Strategic Relationships, Retail Sales, and Retirement Security Education

Manage the third party Licensing and Registration function for Prudential Retirement

Determine and document appropriate registrations and licenses for a variety of functions throughout Prudential Retirement

Monitor regulatory changes for applicability to supported business units, create solutions for challenges created, and determine appropriate course of action for continued regulatory compliance.

Support key unit initiatives such as development and implementation of policies and procedures and compliance training.

Location
The position will be located in either of the following Prudential Retirement office locations; Woodbridge NJ or Hartford CT, with Hartford, CT preferred.

• 5-7 years of relevant Compliance, Control, and/or related business experience required.
• Working knowledge of securities laws, state insurance licensing requirements, and the applicable rules there-under.
• Experience in insurance licensing (fixed and variable) and appointment concepts as well as FINRA registrations.
• An understanding of the securities products of insurance companies is preferred.
• Ability to lead others.
• Strong analytical skills (understanding of more complex regulatory requirements and their application to the retirement business).
• Ability to reach sound judgments.
• Must be self motivated and able to work independently.
• Good project management skills.
• Ability and willingness to partner with team members and PR business associates at all levels.
• Excellent written and verbal communication skills