28 days old

Analyst, Regulatory Supervision

Prudential
Woodbridge Township, NJ
  • Job Code
    CEN0004V

The Analyst is responsible for the day to day review of Prudential Advisors transactional review process for suitability, life replacements,replacement disconnect issues, e-mail review. As needed, the person in thisposition will conduct outreach calls with clients to determine understanding of the purchase. This position willapprove mid-level complexity Protegent and replacement cases. The incumbent must be knowledgeable in U.S. Federal and state compliance regulations as well as company regulations.







  • Incumbent needs to have strong knowledge and understanding of compliance requirements and regulations.

  • Knowledge of insurance and investment products, sales and service processes and the financial services industry.

  • Ability to work with and manage relationships with a diverse group of people, including producers, home office and sales executives.

  • Financial services industry experience, knowledge of broker/dealer laws and regulations.

  • Series 6 and 26 FINRA Registrations required within 6 months of hire. Willingness to obtain Series 7 and 24 within first year. Additional licenses/registrations will be encouraged to be obtained as applicable and/or appropriate.







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Sponsored by:
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Analyst, Regulatory Supervision

Prudential
Woodbridge Township, NJ

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Analyst, Regulatory Supervision

Prudential
Woodbridge Township, NJ
US

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