Director, Compliance Job Listing at Prudential in shelton, CT

Insurance, Finance

This position will have responsibility for multiple activities within the Prudential Annuities Compliance team, including providing day-to-day compliance support and advice to various areas within the business unit. The role is responsible for identifying and integrating Compliance Program components into existing and developing business models. The ideal candidate for this position is experienced with regulatory compliance requirements, risk-based workflow analysis, has a strong project management background and is effective in change management. Experience with Asset Management Programs and/or Annuities is a plus.

Principal Responsibilities
Identify the Compliance Program components required for new business models, where they can be integrated into existing workflows within the Annuities Compliance Program and what requires new or alternative processes.

Accountable for business model development , identifying and workflowing compliance policies and procedures, oversight and monitoring procedures within various functional areas, including sales and operations.

Provide compliance related education, insight and training to business partners and clients.

Location
The position is located in Shelton, CT.

Minimum of 9 years of compliance or business experience in financial services.
Bachelor's required, Master's/Advanced Degree a plus. Series 6 required within 3 months and 26 within 12 months of hiring.
Strong talent leader with experience in development, coaching and motivating staff.
Must be able to translate strategy into action with good project management skills and competency in execution.
Strong collaboration competency with a willingness to partner with team members and other business associates at all levels.
Comfort with taking intelligent risks with the ability to make sound judgment recommendations and provide advice grounded in consumer advocacy, practical application of regulatory requirements and sound business practices.
Broad working knowledge of the regulatory landscape for variable annuities and/or asset management investment programs in either retail or wholesaling broker/dealer environment.
Strong analytical skills and ability to identify and research areas that may have more complex regulatory requirements and translate and educate for business application.
Must be self motivated, able to work independently and comfortable with ambiguity.
Excellent written and verbal communication skills.
Position involves occasional travel, including travel to other Prudential facilities.