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Job Details

Director Compliance

Company name
Prudential Financial, Inc

Newark, NJ, United States

Employment Type

Executive, Manager, Compliance

Posted on
Apr 02,2019

Valid Through
Jul 16,2019


Director, Compliance','PRU000VJ','!*!

Pruco Securities, LLC (Pruco) is a subsidiary of The Prudential Insurance Company of America.Pruco providing investment advisory services and programs as an SEC-registered investment adviser under the marketing name Prudential Financial Planning Services (“PFPS”).  Pruco is also an SEC-registered broker-dealer, under the marketing name Prudential Advisors. Pruco offers retail securities brokerage services, engaging in the business of selling variable life insurance, variable annuities, mutual funds, Section 529 College Savings Plans and general securities. Prudential Advisors’ field force comprises approximately 3,100 financial professionals approximately half of which are registered as Investment Advisory Representatives (IARs). 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. This position will provide compliance support for Prudential Advisors’ Investment Advisory business. The successful candidate will work closely with the business to provide compliance oversight of all aspects of the Investment Advisory business, including testing and tracking of regulatory compliance requirements.  The advisory support will include product development, ADV updates and filings as well as periodic review of policies and standard operating procedures.  This position is a highly collaborative role reporting to the VP Compliance Officer.  The successful candidate will work closely with other Compliance associates across Legal, Compliance, and Business Ethics (LCBE). Additionally, the successful candidate will be responsible for ongoing maintenance of Pruco’s IA Compliance manual as well as assisting the business in creating IA Sales Practice and Practice Management training for our IARs and their supervisors','!*!


to Ten Years’ Experience—In A Retail Investment Advisor Environment-- With All

Aspects Of The Compliance Program Rule, as Set Forth Pursuant To SEC Rule



Experience to Include:


Managed Money Programs


of ADV Disclosure Documents


with Individual IARs with Respect To Practice Management and Sales Practice



and Conduct Of Rule 206 Annual Compliance Program Reviews

Strong risk assessment and mitigation skills and experience

Proven experience as a process owner

Strong project management skills (in process and systems projects)

and management presence

Strong information gathering and business analysis skills

Ability to work independently and effectively deal with multiple

departments and employees at all levels

Excellent oral and written communication skills with prior

experience writing SOPs

Undergraduate degree preferred, Advanced degree (MBA) preferred. A Series 7 and 24 License required or obtained within 90

days of hire.  A Series

65 License is also preferred.  



','!*!Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America. Leveraging its heritage of life insurance and asset management expertise, Prudential is focused on helping individual and institutional customers grow and protect their wealth. The company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset management, and real estate services. We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit to learn more about our values, our history and our brand. Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law. Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at for more information about doing business with Prudential.','Compliance','United States-New Jersey-Newark','','Full-time','Yes, 10 % of the Time','Director, Compliance

Company info

Prudential Financial, Inc
Website :

Company Profile
For more than 135 years, Prudential Financial, Inc., has helped individual and institutional customers grow and protect their wealth. Today, we are one of the world's largest financial services institutions with operations in the United States, Asia, Europe, and Latin America. We also have one of the most recognized and trusted brand symbols: The Rock ®, an icon of strength, stability, expertise, and innovation. We strive to create long-term value for our stakeholders through strong business fundamentals, consistent with our mission guided by our vision and directed by our company's core values. We are committed to keeping our promises and to doing business the right way.

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