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Broker-Dealer Compliance Manager


Newark, NJ
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Job Details

Position Title: Broker-Dealer Compliance Manager
Job Code: 444939
Job Location: New Jersey-Newark

Prudential Advisors (PA) refers to Prudential’s retail distribution channel.  Prudential’s captive agents are licensed insurance agents, appointed to Prudential’s US-based life insurers, and registered representatives of Pruco Securities, LLC, Prudential’s dually registered broker dealer/investment advisor registered with the SEC and FINRA.


Job Description:


The Manager will provide day-to-day compliance advice and monitoring of the Pruco Securities operations areas.  Including the department that conducts middle office functions for brokerage accounts maintained at the firm’s designated clearing firm.  The successful candidate will also act as the department’s the subject matter expert (SME) for regulations that impact Broker-Dealer (BD)operations such as cashiering, trading, books & records, new accounts, statements/confirmations. 


The role is based in Prudential Advisor’s primary home office location (Newark NJ) with weekly presence in Woodbridge NJ, as well as needed trips to other Prudential locations for meetings with key business and compliance partners.


Success Behaviors

  • Self-motivated professional who will take proprietary ownership of their work, work independently and as part of a team, and can handle multiple tasks simultaneously under tight deadlines in a dynamic environment
  • Strong relationship management skills, including the ability to interact and influence multiple levels of business management


Principal Responsibilities:

  • Act as the primary Compliance contact for the operations areas of Pruco Securities
  • Conduct compliance risk assessments of operations related regulations and corresponding controls
  • Maintain assigned compliance policies and review corresponding business Standard Operating Procedures (SOPS) and Written Supervisory Procedures (WSPs)
  • Assist assigned business units define action plans for regulatory changes
  • Support PA Compliance team in the completion of special assignments and projects
  • Partner with Prudential’s annuities, mutual fund and retirement compliance partners to keep abreast of business and industry developments related to operations and identify best practices across business lines
  • Responsibilities may be adjusted based on the experience of the successful candidate



  • Proven knowledge of FINRA, MSRB and SEC regulations pertaining to retail brokerage accounts.
  • Relevant experience in a control function working with broker-dealer (i.e., compliance, business, operations, risk management, audit) or other transferable experience (e.g. managing or testing middle or back-office brokerage operations processes)
  • Series 7 and 24 or ability to obtain within 6 months of hire
  • Bachelor's degree or equivalent experience





      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: Compliance
      Schedule: Full-time
      Apply on the Company Site
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