Vice President Compliance - Digital & Marketing Compliance Officer

    • Hartford, CT

Vice President, Digital & Marketing Compliance Officer


Prudential's Compliance organization is seeking an experienced marketing compliance professional to fill a Vice President, Marketing Compliance Officer (MCO) position. The MCO will develop and run the Compliance program supporting the Company's digital and other marketing initiatives. The MCO will be responsible for the compliance program, lead a marketing review team, and will leverage and collaborate with Prudential's Chief Marketing Office, corporate counsel, and key business stakeholders. The MCO will act as the key executive responsible for digital and other marketing compliance activities and issues, communicating and collaboration with appropriate parties across the Company.
This role requires a cross-business customer centric view into Prudential's business units and digital and other marketing initiatives. The right person will have broad knowledge in financial services and digital marketing regulatory frameworks, technology and business operations. The MCO should have a fundamental understanding of ways to leverage technology to optimize compliance related marketing controls and activities. An ability to communicate with all partner groups will be a key aspect of success in this role.

You will get to work in an exciting, engaging and agile startup environment where you will be encouraged to expand your skills, test your creative boundaries and share new ideas.

Key Responsibilities:

  • T he MCO will effectively implement and run a compliance program for the Company's marketing initiatives, with a strong on digital capabilities, that is effective in monitoring and approving marketing and advertising in compliance with the various laws and regulations impacting this activity.
  • Lead a team of marketing reviewers supporting multiple business units with various financial services, insurance and security products.
  • Responsible for implementing and maintaining compliance monitoring, updating policies and procedures, reporting, testing, and applying regulatory guidance as well as industry best practices.
  • Monitor the effectiveness of established compliance processes and controls; recommend and implement enhancements
  • Promote, protect and set the tone to reflect the Company's reputation for ethics, integrity and honesty in all dealings
  • Communicate regulatory requirements and assist business units in maintaining a control environment that mitigates compliance risk
  • Collaborate across Compliance, Law and Operational Risk Management teams to synthesize and communicate a comprehensive view of marketing compliance risk to business management
  • Escalate compliance concerns timely and effectively to business line management and to the CCOs.
  • Liaise with regulators, auditors and business unit management regarding regulatory exams and inquiries.
  • Provide compliance support for new product initiatives.
  • Integrate benchmarking and best practices through ongoing research, education and industry analysis
  • C oordinate with other Compliance teams as necessary

  • Ten plus years of DIGITAL marketing or other related experience.
  • Thorough and current regulatory knowledge and understanding of marketing, including digital marketing compliance issues and consumer compliance regulations.
  • Expertise and extensive knowledge of digital financial service businesses and platforms, including corresponding regulations and operations with the ability to oversee and advise on the development and maintenance of strong advice targeted at mitigating compliance risk associated with digital and other marketing activities
  • Strong understanding of digital financial services channels, including mobile and online technologies. The ability to break down complex regulatory requirements into easily understood concepts and succinctly communicate this to various business partners.
  • Knowledge of regulatory framework applicable to securities, money market accounts, investment advisory platforms (such as roboadvisors), mutual funds, and/or brokerage accounts. Knowledge of online banking and life insurance or annuities is a plus.
  • Familiarity with concepts, tools and solutions used by digital financial services teams.
  • Experience with developing, implementing Compliance programs, including policies and procedures, controls, monitoring and testing.
  • Understanding of customer transactions and communication, operational work flows, internet technologies, as well as development methodology for a complex multi-business environment
  • Ability to work and react quickly in a fast-paced, agile environment
  • Proven communication skills (verbal, written, interpersonal) to interact with all levels of management
  • Relationship management and experience with direct leadership of teams
  • Strong research skills. Ability to interpret rules and analyze complex issues
  • Ability to reach sound judgments and act quickly under tight deadlines while balancing competing priorities
  • Creative and strategic approach to problem solving and change management
  • Proven analytical and project management skills
  • Bachelor's degree required. Advanced degree is a plus
  • Series 7 & 24 licenses are required

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