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Compliance Relationship Manager - Retirement


Hartford, CT
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Job Details

Position Title: Compliance Relationship Manager - Retirement
Job Code: 437058
Job Location: Connecticut-Hartford

The Compliance Relationship Manager is responsible for providing compliance support to critical business units. This individual consults with senior management of Compliance and the business units supported providing oversight of critical functions, establishing necessary policies and procedures, assisting in policy implementation including training and offering on going guidance to business unit employees for critical functions performed. Other responsibilities include:

  • Manages the overall plan compliance process for Taft-Hartley and Governmental assigned book of business of FSS plans
  • Support Sales organization with RFP support and Sales Finals support as required for these market segments
  • Delivers proactive compliance guidance directly to assigned clients in the areas of plan design, compliance testing Form 5500 preparation as well as other regulatory requirements. This includes:
    • Educating clients to mitigate their fiduciary risk and provide assurance that their plans are operating properly and in accordance within the applicable federal guidelines as determined by the governing bodies (ie. IRS, DOL, PBGC, etc.)
    • Designing and delivering compliance support and education to Financial Advisors, Key Account and Relationship Management Teams and Plan Compliance Services teams within Prudential Retirement
  • Support and may lead compliance related projects, development of training, and/or organizational initiatives
    • Mentor and assist less experienced / tenured members of the team in support of their TH and Governmental clients

  • 5 years client management experience
  • Project Management experience with large scale projects
  • Ability to translate organizational strategy into opportunities and executing on plan
  • Ability to identify organizational gaps and create an executable strategy around addressing those gaps
  • Proven ability to influence outcomes both externally and internally across an organization
  • Possesses broad knowledge of retirement functions, processes and systems
  • Leadership Competencies: Establishes a Clear Vision & Strategy, Focuses Externally, Transforms Strategy into Action, Takes Intelligent Risks, Collaborates to Seize Opportunities, Demonstrates a Strong Moral Compass

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: Project Management
Schedule: Full-time
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