VP, Compliance Job Listing at Prudential in Newark, NJ
Pruco Securities, LLC (Pruco), a subsidiary of The Prudential Insurance Company of America
operates as a broker dealer and investment adviser. The company offers life insurance and variable annuity products, mutual funds, and securities brokerage accounts.
Agency Distribution (AD) is Prudential's nationwide sales organization, which retails our securities, insurance and selected non proprietary products. Our field force comprises approximately 2,600 financial professionals (formerly known as agents) and 330 field managers. We have representation in 49 of the 50 states (excluding Alaska).
Four territories form 50 parent agencies and approximately 67 detached agency offices. Many of our financial professionals (about 50 percent) are located in private offices throughout the United States.
The incumbent will play a key management and tactical role within Pruco and AD. The incumbent will, on occasion, assist Compliance management in broad initiatives within the LCBE (Law, Compliance, Business Ethics and External Affairs) organization.
The incumbent will also be expected to play a leadership role within the broader securities and retail insurance distribution industry to include among other things, participation in industry associations, shaping compliance best practices and educating industry personnel and regulators. The position will lead a team of Compliance professionals located in our Newark, Main Office together with a critical presence in our Ft. Washington, Jacksonville and Minneapolis offices.
Dedicated staff are responsible for: BD/RIA Form BD/ADV registration and disclosure functions; sales practices and business unit policy development; FINRA, state insurance department advertising filing; and, our Pruco branch office examination program.
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