Compliance Director - Testing - Prudential - Newark

Job description
The successful candidate will be responsible for assistance in developing, implementing, supervising and evaluating the testing strategy for the Investment segment (Retirement and Investments) for Prudential's Compliance Testing Unit. The individual will report to the head of the Compliance Testing Unit (CTU) and work closely with CTU staff and senior compliance and legal officers as well as business unit and corporate center liaisons, to implement appropriate risk based testing protocols and provide regular and timely reporting to applicable business and compliance management.

With the supervision of the head of CTU, responsibilities will include:
Supervising compliance professionals responsible for regulatory testing activities in Prudential's businesses, including inspections of registered broker-dealers and compliance testing and reporting pursuant to Rule 38a-1.
Developing, implementing, evaluating and enhancing compliance testing policies, procedures and protocols, including consistency, where possible, for testing practices including risk assessment and identification of key controls as well as workpaper standards and reporting.
Coordinating with the internal/external Audit teams to leverage and review test findings.
Escalating issues, as appropriate, in order to provide recommendations to senior management and boards for improvements in the control structure.
Providing testing consultation and guidance on applicable legal and regulatory requirements, including identifying major risk factors, and advising business management on effectively monitoring, detecting and reporting potential regulatory violations.
Providing additional support to the compliance organization, including the design and execution of testing protocols targeted to address specific regulatory concerns or areas of focus, generally across multiple business units.

Desired Skills and Experience
5+ years of compliance, legal and/or audit experience, primarily in an asset management organization or other financial services company.
Prior experience in managing staff required.
Strong subject matter expertise in Investment Adviser, Broker-Dealer and mutual fund/variable product regulation required.
Knowledge of Retirement and Investment businesses a plus.
Strong analytical, organizational and problem solving skills.
Excellent judgment and the ability to handle highly confidential business matters in a fair and consistent matter.
Strong relationship management, interpersonal and leadership skills, including experience in dealing with senior management.
Excellent presentation, oral and written communication, coaching and facilitation skills.
Proven ability to manage and balance multiple priorities.
Highly motivated and able to work independently as well as in a team.
BA/BS Degree preferred.
Current or prior FINRA Registrations (Series 6/26 or Series 7/24) a plus.
Travel between Prudential offices may be required.

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