Analyst, Regulatory Supervision
Job Code: 377759
Job Location: New Jersey-Iselin
The Analyst is responsible for the day to day review of Prudential Advisors transactional review process for suitability, life replacements, replacement disconnect issues, E-Mail review. As needed, the person in this position will conduct outreach calls with clients to determine understanding of the purchase. This position will approve mid-level complexity Protegent and replacement cases. The incumbent must be knowledgeable in US Federal and state compliance regulations as well as company regulations.
Incumbent needs to have strong knowledge and understanding of compliance requirements and regulations; knowledge of insurance and investment products; sales and service processes; company policies and processes; company systems; and, the financial services industry. Ability to work with a diverse group of people including producers, home office and sales executives. Financial services industry experience, insurance broker/dealer laws and regulations and company compliance policy; and, Prudential products and services.
Incumbent needs to have strong knowledge and understanding of compliance requirements and regulations;
- Knowledge of insurance and investment products; sales and service processes; company policies and processes; company systems; and the financial services industry.
- Ability to work with and manage relationships with a diverse group of people including producers, home office and sales executives.
- Financial services industry experience, insurance broker/dealer laws and regulations and company compliance policy; and, Prudential products and services.
- Series 6, 26 FINRA Registrations required within 6 months of hire. Willingness to obtain Series 7 and 24 within first year. Additional licenses/registrations will be encouraged to be obtained as applicable and/or appropriate.
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 www.prudential.com 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 email@example.com for more information about doing business with Prudential.
Job Function: Insurance