Compliance Director - Market Material - Prudential - Newark

Job description
The Director, Marketing Material Review is responsible for leading the compliance function associated with the review and approval of advertisements, sales literature, correspondence, and other marketing material developed or utilized by Prudential Investments. The position is also responsible for the review and approval of certain marketing materials associated with the Day One Funds (collective investment trusts).
The Director position involves leadership and direct supervision of the Marketing Review Team, and reviewing various weekly, monthly and quarterly oversight reports provided by Corporate MRU. Oversight will also include the monitoring of submission volume, quality control, recordkeeping and reporting requirements. The Director will be responsible for developing and implementing policies and procedures specific to advertising and sales material and overseeing compliance with such policies and procedures. The Director will regularly consult with and guide the appropriate business partners in all aspects of advertising regulation, and will partner with Compliance peers throughout the Prudential enterprise in support of key initiatives.

The MRU Director is responsible for providing compliance training to gatekeepers, sales personnel, and MRU staff. The MRU Director will also conduct PI’s quarterly gatekeeper meetings. Furthermore, this position will serve as the primary back-up to the Director, Compliance who handles the review of Requests for Proposals, Requests for Information, quarterly and annual Due Diligence Questionnaires, fund attributions, and other materials related to and as a result of the RFP process (collectively “the RFP function”). The MRU Director may also assume direct responsibility for the RFP function at some point in the future. The MRU Director must be willing to participate and lead projects, unrelated to Marketing Review, at the request of PI Compliance leadership.

Desired Skills and Experience
7 -10 years compliance experience, with expertise in rules and regulations pertaining to advertisements and sales literature for investment companies and investment advisers.
Currently possess Series 7 and 24 licenses.
Extensive understanding of relevant securities laws, including but not limited to: Securities Act of 1933, Securities Exchange Act of 1934, The Investment Advisers Act of 1940, The Investment Company Act of 1940, and FINRA regulations.
Four-year college degree preferred
Excellent project and process management and organizational skills
Strong organizational awareness
Effective negotiating and partnering skills
Strong leadership skills and staff management skills
Ability to work with little supervision as well as ability to request supervision or assistance when necessary to meet deadlines.
Strong research and analytical skills
Ability to quickly assimilate new information regarding specific product topic(s).
Ability to make sound judgments and act quickly under tight deadlines;
Ability to work with both senior managers and staff members at all levels of the company.
Proven control/risk assessment and multitasking project management skills;

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