Job Details

VP Deputy Chief Compliance Officer

Company name

Prudential Financial, Inc

Organization Type

In-House

Job Type

Attorney

Date Last Verified

May 13,2019

Valid Through

Aug 26,2019

Posted on

Mar 22,2019

Years of Experience

Min 10 yrs required

Location

Newark, NJ, United States

Employment Type

Full-time

Industry

Legal
Practice Area
Corporate >> Corporate - General
  Employer Sponsored Job (Free to apply to)
 
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Profile

VP, Deputy Chief Compliance Officer
The candidate will be responsible for the day-to-day oversight of each of the following compliance teams: broker-dealer oversight (responsible for maintaining broker-dealer policies and procedures and support for the broker-dealer); investment advisory compliance team (supporting investment advisory business through surveillance and maintenance of policies and procedures); regulatory response team (addressing FINRA and state securities inquiries); compliance surveillance team (providing monitoring of sales practice and trending on other relevant broker-dealer activities); and the pre-hire team (background check and other registration activities). The team will include approximately 20 individuals with two Compliance Vice Presidents reporting directly. Be a member of firm’ senior leadership team and assist the CCO of firm in setting and executing on strategic objectives for the firm Compliance team. Represent firm with regulators including FINRA and the SEC.

Qualification and Experience

The candidate must have 10+ years broker-dealer experience with all aspects of compliance program responsibilities. Prior CCO or senior compliance experience is needed. Proven track record of leadership and execution on strategic priorities is essential. Experience with FINRA, state securities and SEC matters are necessary. Wirehouse experience is required. Undergraduate degree is must, Advanced degree (JD or MBA) is preferred. A Series 7 And 24 License is critical or obtained within One-Hundred and Twenty Days (120) of Hire. Strong talent leader with experience in development, coaching motivating staff is must. Proven experience as a process owner is required. Excellent oral and written communication skills are needed.

Additional info

REF-PRU000VK

Company info

Hiring Coordinator
Prudential Financial, Inc
751 Broad Street
Newark, NJ 07102

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