Vice President, Chief Compliance Officer

3+ months agoShelton, CT

Prudential Annuities Distributors (PAD), a FINRA registered Broker Dealer, is searching for a Chief Compliance Officer. PAD is primarily a wholesaling broker-dealer for Prudential's Individual Life and Annuities businesses. PAD distributes a comprehensive range of individual life and annuity products through Prudential's proprietary sales force and third-party distributors. The successful candidate must be thoroughly knowledgeable about and responsible for the Compliance Programs and will be expected to lead and continuously develop a seasoned compliance team. This will include providing on-going compliance related support and advice for the day-to-day activities as well as new initiatives. The role has responsibility for compliance monitoring, support of marketing activities, compliance training, and creating and implementing new policies and procedures. The incumbent will play a key management role within PAD to ensure compliance with all regulatory requirements as well as a member of the broader ILI and Annuities Compliance organization. Additionally, the incumbent will assist Compliance management in broad initiatives within the LCBE (Law, Compliance and Business Ethics) organization. The incumbent will also be expected to play a leadership role within the broader Individual Life and Annuities industry to include among other things, participation in industry associations, shaping compliance best practices and educating industry personnel and regulators. Leads, guides and develops a team in support of PAD. This position will report into the CCO for Individual Life and Annuities.

Principal Responsibilities

  • Promote, protect and set the tone to reflect the Company's reputation for ethics, integrity and honesty in all dealings.
  • Work with all levels of management, up to and including senior management to ensure that appropriate regulatory processes and controls are established and documented within the areas of responsibility.
  • Monitor the effectiveness of established compliance processes and controls and recommend and implement enhancements.
  • Assist management with identifying and resolving regulatory issues both within PAD as well as the Annuities and Individual Life businesses and across other business units.
  • Assist regulators, auditors and business unit management with regulatory exams and inquiries.
  • Provide Compliance support for new product and business initiatives.

  • Identify, develop, organize, and deliver necessary compliance related training, and reinforce all compliance-related communications.
  • Establish and maintain industry and regulatory interactions in an effort to advance and shape regulatory expectations and industry related compliance activities.
  • Partner with the law department to analyze changes to regulatory requirements and proactively manage regulatory developments and changes.
  • Partner with the Risk Management organization and the business in general to address necessary compliance related changes.
  • Communicate regularly with Compliance and PAD management to ensure adequate awareness throughout the organization on items of significance.

Bachelor's degree. Advanced degree a plus
Strong Leadership qualities
Eight years plus years of relevant broker-dealer compliance experience
Strategic mindset and an ability to contribute to the direction of the business and the Compliance Department
Communication, analytical and project management skills
Strong relationship management and leadership skills are desired including experience and ability in dealing with senior management
Ability to reach sound judgments and act quickly under tight deadlines
Experience in leading, inspiring and developing a team in support of the business initiatives
Comprehensive knowledge of the regulations directly impacting wholesaling and retail broker-dealer activities; relevant securities regulations including FINRA Rules, provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934, as well as the Investment Advisers Act of 1940, the Investment Company Act of 1940 and ERISA.
Additional profile requirements:
Openness to new ideas and seeks opportunities to learn
Professional skepticism in assessing appropriateness, objectivity and independence
Understand key business risks, marketplace and regulatory environment
Establishes themselves as credible voice at the table
Leads organizational transformation in areas of effectiveness and improvement
Ability to think beyond a problem on its face
Comfortable with ambiguity and has the dexterity to adjust as needed
Understands the complexities and nuances of a global environment
Seeks to understand customer's needs and challenges
Collaborates in a fully inclusive and open manner
Candidate is required to possess series 7 & 24 licenses or will need to obtain shortly after hire.

Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America. Leveraging its heritage of life insurance and asset management expertise, Prudential is focused on helping individual and institutional customers grow and protect their wealth. The company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset management, and real estate services.
We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit to learn more about our values, our history and our brand.
Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law.

Job ID: Prudential-ISG0004V

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