Director, Broker - Dealer Initiatives


: $100,580.00 - $163,120.00 /year *

Employment Type

: Full-Time


: Financial Services - Banking/Investment/Finance

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Prudential Advisors (PA) is the brand name for the US based captive distribution channel of the Prudential Insurance Company of America. Prudential's captive agents are licensed insurance agents, appointed to Prudential's US-based life insurers, and referred to as Prudential Advisors' Financial Professionals. Prudential Advisors' Financial Professionals are also registered representatives of Pruco Securities, LLC, Prudential's dually registered broker dealer/investment advisor registered with the SEC and FINRA. The Broker Dealer Administration team, has responsibility for a variety of strategic initiatives, operational and supervisory functions. The team acts as a centralized operational and supervisory unit with responsibilities that include: responding to audit inquiries, state specific fillings and ownership of the Corporate Home Office procedures. Additionally, the team has ownership of the conflicts of interest process which includes administration of steering committee meetings. The team acts as a risk action plan management liaison to facilitate the follow up and closure of action plans. The team is also responsible for the implementation of ILI's Vendor Governance Program within Prudential Advisors. Prudential offers a rewarding career, along with competitive compensation package and excellent benefits to choose from including 401K, Medical/Dental/Vision, paid time-off and much more. Key Responsibilities: Keep abreast of regulatory, compliance and industry trends in order to help influence critical decision making (e.g. new Rules/Regs, industry fines/actions) Serve as a central contact for both internal and external business partners (including RCU) during regulatory exams (e.g. FINRA, SEC) Maintain the FP Tiering Program (i.e. make decisions regarding criteria / qualifications /products) Coordinate internal exam activity across multiple Pruco OSJ's (i.e. Internal Audit, OSJ Inspections) M ine and leverage data to provide analytical and strategic insights for the broker dealer D rive and influence change across the Organization on behalf of Pruco Securities by leading large-scale projects Prepare executive-level documentation Negotiate with business partners and control partners on behalf of the broker dealer Draft and maintain user requirements for business processes and systems enhancements (i.e. BRDs, PIRs) Minimum of 5-8 years of regulatory or related experience required; financial services industry experience strongly preferred Strategic thinker with experience influencing and effecting change within an organization Strong ability to analyze and leverage data Ability to manage projects and initiatives across businesses and with diverse stakeholders Comfortable presenting to senior management Ability to make critical decisions; adept at managing multiple priorities and tasks effectively Highly organized and self-motivated Bachelor's degree required; MBA or other advanced degree preferred 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. 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. OPE0004HSalary Range: NAMinimum Qualification5 - 7 years
Associated topics: bond, broker, buy, commodities, dow jones, ira, market, purchase, risk, s p * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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