Sr. Analyst, Regulatory Supervision
Company Name:
Prudential
Title: Sr. Analyst, Regulatory Supervision
Location: New Jersey-Newark
Other Locations:
Agency Distribution Corporate Operations and Controls is seeking an experienced analyst to perform registered supervisory functions. This position involves the review of all marketing, advertising, and communication materials that are created by field registered representatives and home office associates to ensure compliance with all regulatory and company requirements for communications with the public.
Responsible for the following:
Reviewing marketing materials to ensure they are submitted with all appropriate information to meet regulatory and company standards.
Submitting and tracking materials submitted to the Marketing Materials Review Unit (MRU).
Determining the necessary Subject Matter Expert (SME) approvals for each piece and ensuring that all sign-offs have been obtained from the appropriate areas (Law, Tax, Compliance, Product Mfr., etc.).
Reviewing the final copy of marketing material to ensure the owner of the material incorporates the necessary changes as required by SME or MRU review.
Responsible for reviewing monthly outstanding final copy reports from MRU and following up with the identified owner of the material to ensure that a compliant final copy has been submitted into the MRU database.
Communicating with Field and Home Office personnel regarding the marketing materials submitted for review.
Obtaining translation certificates from a company-approved vendor for in-language marketing materials.
Excellent communication and interpersonal skills
Strong organizational and project management skills
General knowledge of Prudential''s policies, processes and procedures preferred
Strong business writing skills
Minimum 2 years of general compliance/supervisory background
General knowledge of Broker-Dealer issues (FINRA, SEC, etc.)
Series 6 & 26 preferred
Strong background in Microsoft Word, Excel and PowerPoint, Adobe Acrobat
Ability to learn and use proprietary systemsMarketing Material ReviewEstimated Salary: $20 to $28 per hour based on qualifications.
Prudential
Title: Sr. Analyst, Regulatory Supervision
Location: New Jersey-Newark
Other Locations:
Agency Distribution Corporate Operations and Controls is seeking an experienced analyst to perform registered supervisory functions. This position involves the review of all marketing, advertising, and communication materials that are created by field registered representatives and home office associates to ensure compliance with all regulatory and company requirements for communications with the public.
Responsible for the following:
Reviewing marketing materials to ensure they are submitted with all appropriate information to meet regulatory and company standards.
Submitting and tracking materials submitted to the Marketing Materials Review Unit (MRU).
Determining the necessary Subject Matter Expert (SME) approvals for each piece and ensuring that all sign-offs have been obtained from the appropriate areas (Law, Tax, Compliance, Product Mfr., etc.).
Reviewing the final copy of marketing material to ensure the owner of the material incorporates the necessary changes as required by SME or MRU review.
Responsible for reviewing monthly outstanding final copy reports from MRU and following up with the identified owner of the material to ensure that a compliant final copy has been submitted into the MRU database.
Communicating with Field and Home Office personnel regarding the marketing materials submitted for review.
Obtaining translation certificates from a company-approved vendor for in-language marketing materials.
Excellent communication and interpersonal skills
Strong organizational and project management skills
General knowledge of Prudential''s policies, processes and procedures preferred
Strong business writing skills
Minimum 2 years of general compliance/supervisory background
General knowledge of Broker-Dealer issues (FINRA, SEC, etc.)
Series 6 & 26 preferred
Strong background in Microsoft Word, Excel and PowerPoint, Adobe Acrobat
Ability to learn and use proprietary systemsMarketing Material ReviewEstimated Salary: $20 to $28 per hour based on qualifications.
|
|
 | |
