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Prudential

Vice President, Digital & Marketing Compliance (Remote/Virtual)

West Caldwell, NJ

Prudential's Compliance organization is seeking an experienced marketing compliance professional to fill a Vice President, Digital & Marketing Compliance position. This executive will manage the Compliance program supporting the Company's marketing and digital marketing initiatives. The successful candidate 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.

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 incumbent 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.

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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:
The incumbent will effectively implement and manage 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

Coordinate with other Compliance teams as necessary


Qualifications:
Five 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, investment advisory platforms (such as roboadvisors), mutual funds, and/or brokerage accounts. Knowledge of annuities or online sales of life insurance is a plus.
Familiarity with digital concepts, tools and solutions used by financial services companies.
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

FINRA Series 7 and 24 licenses required or ability to obtain within120 days days of hire.

Job ID: Prudential-CUS000A9
Employment Type: Other

Perks and Benefits

  • Health and Wellness

    • Dental Insurance
    • Vision Insurance
    • Life Insurance
    • Short-Term Disability
    • Long-Term Disability
    • FSA
    • FSA With Employer Contribution
    • HSA
    • HSA With Employer Contribution
  • Parental Benefits

    • Adoption Leave
    • Birth Parent or Maternity Leave
    • Adoption Assistance Program
    • Family Support Resources
  • Vacation and Time Off

    • Paid Holidays
    • Personal/Sick Days
  • Financial and Retirement

    • 401(K)
    • 401(K) With Company Matching
    • Pension
    • Stock Purchase Program

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