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Compliance Manager

Company Name:
Prudential
Prudential seeks a highly skilled and motivated professional for the role of Compliance Manager within the Annuities Compliance team. This position focuses on Compliance Metrics and will utilize information throughout the Annuities organization to create a flexible, comprehensive reporting process for compliance topics which are considered high-risk. The successful candidate will be responsible for overseeing the development process for all new metrics, facilitating the ongoing reporting process to management, and coordinating with other areas within Compliance, business, and systems areas to execute a consistent reporting strategy. This position will alsoprovide other broker-dealer compliance support as needed. The individual will report to a Compliance Director in Annuities Compliance and will be based in Shelton, CT. Alternate locations of Newark and Hartford may be considered, however, a regular presence is required in Shelton, CT.
Key Responsibilities
Oversight of the development process for designing metrics on compliance risk-related topics.
Coordination of the development and execution of business requirements with Systems.
Interaction with Systems to lead the development and design of reports, create functionality requirements, and testing of the work product.
Analysis of data produced from Annuities Compliance risk assessments, as well as other sources, to identify potential areas of future metric topics.
Review of data with Annuities Compliance associates to identify trends and opportunities to leverage data for process change recommendations.
Manage to completion projects to develop, test, administer and launch additional monitoring measures.
Drive the development of educational information and training materials related to generating reports and presenting data.
Manage reporting on various compliance related subjects to business and compliance management.
Create and maintain Standard Operating Procedures, workflows and documentation related to existing and new processes.
Additional responsibilities where needed.
A minimum of 3-5 years regulatory or relevant business/operational or equivalent military experience; experience with third-party distribution model and/or data analytics preferred.
High comfort level with technology and data analysis.
Strong Excel skills; experience with other analytical tools (Cognos, SPSS) is a plus.
Understanding of the regulatory environment.
Ability to conduct research related to industry topics.
Experience in project management with a proven success track record.
Strong information gathering and business analysis skills.
Ability to effectively deal with multiple departments and personnel at all levels.
Strong presentation, oral, and written communication skills.
Experience with statistical analysis and problem solving.
B.A./B.S. preferred
FINRA Series 6 (or within 180 days of hire)
Primary Location: Shelton, CT- alternate locations of Hartford, CT and Newark, NJ may be considered, however, a regular presence in Shelton is required.
Travel: Travel between Shelton and Newark, NJ headquarters may be required.
Job: Annuities
Title: Compliance Manager
Location: Connecticut-Shelton
Requisition ID: ANN000DX
Other Locations: United States-New Jersey-Newark, United States-Connecticut-Hartford

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