Analyst, Compliance
Company Name:
Prudential
Title: Analyst, Compliance Location: New Jersey-Newark Other Locations:
This position will be responsible for reviewing and submitting all critical FINRA filings for the Broker-Dealer, Pruco Securities and supporting the Alert Tracking and Regulatory Inquiry functions. Specifically, the individual will be responsible for the following:
o Ensuring that all FINRA Rule 4530 reporting requirements are consistently met for Pruco Securities
o Summarizing, gathering and presenting information related to internal conclusions of violative conduct by Pruco or Registered Representatives for the Senior Management Review Team's review
o Preparing and submitting a Quarterly Complaint report to FINRA
o Working closely with the Law Department on referrals that require a legal opinion as well as working closely with the Business Units (including Field) on the referrals received and confirming information related to those referrals
o Monitoring the performance of Source Areas in meeting their obligation to refer disclosure events for reporting
o Providing back-up support to the Regulatory Legislative Alert Tracking Function by reviewing summaries of regulatory changes (Alerts) drafted by the Insurance Division Law Department, ensuring appropriate business units, topics, accountable parties, risk levels, etc. are identified, and electronically distributing the Alerts for review and implementation
o Reviewing and monitoring all responses to these Alerts in the Alert Tracking database and partnering with various levels of management in the business units to ensure sufficient action plans are submitted and timely implemented
o Inputting information related to regulatory inquiries into the Enterprise Issues Tracking Database.
o Periodically working on additional assignments as needed, and supporting the Regulatory Inquiry and Market Conduct Examination functions.
o The successful candidate must be highly motivated and able to handle multiple priorities in a constantly changing environment.
o Excellent verbal and written communication skills.
o Ability to conduct research, draw appropriate conclusions and summarize conclusions in written correspondence.
o Ability to work effectively in a fast paced environment.
o Demonstrated initiative and good judgment.
o Excellent interpersonal and relationship building skills.
o Strong understanding of one of more of the following products: Life Insurance, Mutual Funds and Annuities and/or Broker Dealer/Insurance operations.
o Excellent time management skills.
o Experience dealing with Regulatory agencies and/or compliance related matters is a plus
o Proficiency in the use of EXCEL, LOTUS NOTES, and WORD.
o Knowledge of .TXT text file script a plus.
Experience reviewing and/or interpreting customer complaints a plus.
Compliance Analyst, Compliance New Jersey-Newark REG0001S Estimated Salary: $20 to $28 per hour based on qualifications.
Prudential
Title: Analyst, Compliance Location: New Jersey-Newark Other Locations:
This position will be responsible for reviewing and submitting all critical FINRA filings for the Broker-Dealer, Pruco Securities and supporting the Alert Tracking and Regulatory Inquiry functions. Specifically, the individual will be responsible for the following:
o Ensuring that all FINRA Rule 4530 reporting requirements are consistently met for Pruco Securities
o Summarizing, gathering and presenting information related to internal conclusions of violative conduct by Pruco or Registered Representatives for the Senior Management Review Team's review
o Preparing and submitting a Quarterly Complaint report to FINRA
o Working closely with the Law Department on referrals that require a legal opinion as well as working closely with the Business Units (including Field) on the referrals received and confirming information related to those referrals
o Monitoring the performance of Source Areas in meeting their obligation to refer disclosure events for reporting
o Providing back-up support to the Regulatory Legislative Alert Tracking Function by reviewing summaries of regulatory changes (Alerts) drafted by the Insurance Division Law Department, ensuring appropriate business units, topics, accountable parties, risk levels, etc. are identified, and electronically distributing the Alerts for review and implementation
o Reviewing and monitoring all responses to these Alerts in the Alert Tracking database and partnering with various levels of management in the business units to ensure sufficient action plans are submitted and timely implemented
o Inputting information related to regulatory inquiries into the Enterprise Issues Tracking Database.
o Periodically working on additional assignments as needed, and supporting the Regulatory Inquiry and Market Conduct Examination functions.
o The successful candidate must be highly motivated and able to handle multiple priorities in a constantly changing environment.
o Excellent verbal and written communication skills.
o Ability to conduct research, draw appropriate conclusions and summarize conclusions in written correspondence.
o Ability to work effectively in a fast paced environment.
o Demonstrated initiative and good judgment.
o Excellent interpersonal and relationship building skills.
o Strong understanding of one of more of the following products: Life Insurance, Mutual Funds and Annuities and/or Broker Dealer/Insurance operations.
o Excellent time management skills.
o Experience dealing with Regulatory agencies and/or compliance related matters is a plus
o Proficiency in the use of EXCEL, LOTUS NOTES, and WORD.
o Knowledge of .TXT text file script a plus.
Experience reviewing and/or interpreting customer complaints a plus.
Compliance Analyst, Compliance New Jersey-Newark REG0001S Estimated Salary: $20 to $28 per hour based on qualifications.
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