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Analyst, Regulatory Supervision


Dresher, PA
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Job Details

Position Title: Analyst, Regulatory Supervision
Job Code: 431858
Job Location: Pennsylvania-Dresher
The Annuities Suitability Review Team will focus on adherence to suitability obligations through partnership with Compliance, Legal, and Risk. The Team will review the suitability of transactions in accordance with the company’s suitability review process, and determine whether there is a reasonable basis for believing that the producer’s recommendation to purchase, sell, or exchange a product is suitable for the customer based on the information provided by the customer as to his or her other security holdings and financial situation and needs.
The Analyst, Regulatory Supervision is responsible for the suitability review and approval of the purchase of Fixed Indexed Annuities in accordance with State Insurance law and Company policies and procedures regarding suitability, replacement and financing, as applicable to the covered transaction. The review and sign off for appropriateness is to insure reasonable grounds for recommendation and insure the consumer is informed, review of the case must be completed timely and in good order to Annuity Services. Diligent outreach will be made on requests for information from customers, producers and firm management and to discuss and resolve issues.  High level of decision making is required considering unique facts of each customer, regulations and risk.  Relevant information must be sufficiently documented in the Protegent and workflow system to explain the suitability determination. May have some responsibility of supervision of pre-analyst. Responsibilities include:
  • Evaluation of narrowly defined issues e.g., evaluation of a new regulation, money laundering etc. Implements compliance oversight procedures with little to no supervision
  • Possesses solid knowledge of the principles concepts practices of the compliance discipline and applies them to their moderately wide understanding of Prudential products functions
  • Individuals are fully knowledgeable of their area of expertise and are capable of executing and completing complex tasks and analyses
  • Utilize negotiating skills with, and provides counsel to staff of sales, marketing, product development, portfolio management and other disciplines to ensure that compliance is attained by identifying problem situations, analyzing causes and recommending corrective action
  • Completes all appropriate filings to ensure compliance with federal and state regulatory requirements
  • Prepares documentation and responds to internal and or external compliance questions
  • May be responsible for the direction and training of less experienced staff
  • Initiates inquiries on an ad hoc basis into compliance matters within their scope
  • Provides compliance training to business unit personnel in formal, structured settings


    • Bachelor’s degree or equivalent professional experience preferred
    • Minimum 3 years of annuities or other financial services experience in customer service, operations, processing or production roles
    • A strong level of technical knowledge/experience relating to annuities suitability preferred.
    • Experience with FINRA, SEC and state regulations pertaining to suitability issues as they relate to broker dealers, and insurance firms preferred
    • A strong knowledge and understanding of compliance requirements and regulations
    • Demonstrated proficiency in Microsoft Office applications such as Outlook, Excel, PowerPoint, Word
    • Highly motivated and able to work independently.
    • Technically sound with strong process skill set. Able to work through complex scenarios, deliver streamlined solutions and adapt to change
    • Demonstrated ability to deliver results and the ability to manage multiple priorities while under tight time constraints
    • Ability to work with and manage relationships with a diverse group of people, including producers, home office and sales executives

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.

Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at for more information about doing business with Prudential.
Job Function: Operations
Schedule: Full-time
Apply on the Company Site
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