15 days old

Sr Analyst, Regulatory Supervision

Prudential Ins Co of America
Hartford, CT 06103
  • Job Code
    COM00087

For more than 140 years, Prudential Financial, Inc. has helped individual and institutional customers grow and protect their wealth. Prudential Retirement, a division of Prudential, provides innovative retirement solutions and we are passionate about making long-term financial security a reality. We care about helping our clients meet their goals and overcome challenges. Thats why our employees are constantly solving problems and creating innovative solutions that put people at the center and help improve financial wellness outcomes for organizations and individuals. Prudential Retirement serves nearly 7,800 public, private and not-for-profit organizations and more than 4.2 million individuals accounts for over $400 billion of retirement account values.





The Sr Analyst, Regulatory Supervision, under limited supervision, willindependently review and submit all investment collateral and marketing materials to Compliance and Legal for review and approval. The incumbent will review all presentations and materials created for use with external clients and intermediaries for quality and compliance with reporting standards and regulatory requirements. Under supervision will review and maintain process and procedure documents to ensure appropriate workflows and tracking is in place.





Other responsibilities include:



  • Assist with Global Portfolio Strategies, Inc., a wholly owned subsidiary of Prudential Financial, Inc. and a Registered Investment Advisor: Support includes review of and development of policies and procedures as well as performance of monitoring of process and procedures performed by both operations and investment teams and support annual audits

  • Review correspondence for compliance with rules/regulations, summarize review statistics and escalate issues found in reviews to management

  • Support other compliance and licensing related activities as necessary including research and coordination with business partners

  • This position requires strong partnership with team members across Client Facing teams and business partners in Legal, Compliance and Risk Management


  • Minimum of 3-5 years of financial services experience; Retirement Services or Investments preferred

  • Understanding of investment concepts and/or products within retirement market

  • Understanding of marketing, sales and product development culture

  • Strong project management skills

  • Ability to balance team orientation and work independently

  • High quality of work is required including a strong attention to detail

  • Strong time management, ability to work well under deadlines, handle multi-tasking environment, and make good judgments about competing priorities

  • Effective partnership skills and strongcommunication skills

  • Demonstrated ability to focus on and take ownership for results (i.e.: quality, deadlines, goal-setting, and process improvement)

  • Ability to work well under pressure and to easily adapt to changes in priorities to meet marketplace and business needs

  • Strong verbal and written communication skills, ability to translate complex ideas into clear and simple format

  • FINRA Series 6 and 26 required at or within 120 days of employment





Posted: 2019-10-31 Expires: 2019-11-29
Sponsored by:
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Sponsored by:
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Sr Analyst, Regulatory Supervision

Prudential Ins Co of America
Hartford, CT 06103

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