Analyst, Regulatory Supervision (Hybrid) (Finance)
Job Classification:
Corporate - Legal and ComplianceAs a Regulatory Supervision Analyst, you will the responsible for monitoring and managing compliance related internal and external electronic communications across the Individual Life Insurance and Retirement Strategies businesses. This is accomplished through email review, analysis and proactive consultation with internal partners to identify and provide insight to resolving any compliance discrepancies quickly and proactively.
This position requires a high degree of experience, knowledge, and understanding of applicable regulatory requirements and corporate policies as well as a solid understanding of a regulated financial environment, like the Retirement Strategies and ILI organization. Leveraging the requisite skill-set, independent judgement and critical thinking, the ideal associate must comfortably and professionally initiate discussions and resolutions with Senior-level managers and leaders in order to resolve identified issues with confidence and autonomy. In addition, working alongside sales, marketing, compliance, and product, among other departments, you will be expected to develop and present analysis, interpret data and present appropriate solutions to identified issues and trends. Lastly, you will also be involved with training new FINRA licensed employees on electronic communication policies and procedures and will have an opportunity to work on projects to identify process enhancements and improvements related to correspondence practices.
Qualifications:
- Bachelor's degree or equivalent work experience required
- A minimum of 2+ years Financial Services industry experience preferred
- FINRA Series 6 or 7 required
- FINRA Series 26 or 24 required within 90 days of hire
- Proficiency with Excel and performing trending analysis
- Ability to exercise a high degree of independence
- Interest and ability to perform presentations at the leadership level
- Experience working within a Financial Services or highly regulated environment
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What we offer you:
Prudential is required by state specific laws to include the salary range for this role when hiring a resident in applicable locations. The salary range for this role is from $83,500.00 to $129,500.00. Specific pricing for the role may vary within the above range based on many factors including geographic location, candidate experience, and skills.Market competitive base salaries, with a yearly bonus potential at every level.
Medical, dental, vision, life insurance, disability insurance, Paid Time Off (PTO), and leave of absences, such as parental and military leave.
401(k) plan with company match (up to 4%).
Company-funded pension plan.
Wellness Programs including up to $1,600 a year for reimbursement of items purchased to support personal wellbeing needs.
Work/Life Resources to help support topics such as parenting, housing, senior care, finances, pets, legal matters, education, emotional and mental health, and career development.
Education Benefit to help finance traditional college enrollment toward obtaining an approved degree and many accredited certificate programs.
Employee Stock Purchase Plan: Shares can be purchased at 85% of the lower of two prices (Beginning or End of the purchase period), after one year of service.
Eligibility to participate in a discretionary annual incentive program is subject to the rules governing the program, whereby an award, if any, depends on various factors including, without limitation, individual and organizational performance. To find out more about our Total Rewards package, visit Work Life Balance | Prudential Careers. Some of the above benefits may not apply to part-time employees scheduled to work less than 20 hours per week.
Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom.
Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status, medical condition or any other characteristic protected by law.
If you need an accommodation to complete the application process, please email accommodations.hw@prudential.com.
If you are experiencing a technical issue with your application or an assessment, please email careers.technicalsupport@prudential.com to request assistance.
