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Director, Compliance


Newark, NJ
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Job Details

Position Title: Director, Compliance
Job Code: 418258
Job Location: New Jersey-Newark

Prudential’s Corporate Compliance organization is seeking an experienced financial services leader to serve as the Compliance Officer supporting Cross Business Compliance. Supporting the CCO, this individual will be responsible for developing and running the compliance program for operations within cross- business units, to ensure that the business is in compliance with laws and regulations.  Key to success is the ability to be an active participant on the cross-business operating  teams. 


This role requires a cross-functional view into Prudential’s business units. The right person will have broad knowledge in RIA, Broker Dealer, and/or Insurance regulatory frameworks and business operations, a good mix of understanding the various business models used to manufacture, distribute and service financial service products and experience in leveraging technology to optimize compliance related controls and activities.  An important part of the role will be to generate ideas to enhance the compliance program, eliminate duplications and inefficiencies and increase the effectiveness of the program to ensure that the highest risks are properly identified and mitigated. 


This individual will be part of helping to shape, direct and execute business vision and be challenged to blend customer-centric principles with industry-changing innovation and regulatory complexity. This role works directly for Prudential’s Vice President of Corporate Compliance, who also functions as CCO for another of Prudential’s business units, the Customer Office.


You will get to work in an exciting, engaging and agile environment where you will be encouraged to expand your skills, test your creative boundaries, share new ideas, and, most importantly, have fun.


Key Responsibilities:

·         The role will design and implement a compliance oversight program for the business unit that is effective in preventing, detecting and mitigating violations of applicable law or Prudential policies.  The person will also develop line of sight around enterprise-wide issues and be integral in proposing and implementing enterprise-wide solutions.

·         Responsible for directing, developing, implementing and maintaining compliance monitoring, new policies, procedures, reporting, testing, tracking and applying regulatory priorities as well as industry best practices.

·         Responsible for providing ongoing compliance support and advice for the day to day activities of the business unit as well as designing and implementing new strategies and initiatives.

·         Administer all compliance policies and procedures for the cross-business functions.

·         Promote, protect and set the tone to reflect the Company’s reputation for ethics, integrity and honesty in all dealings

·         Monitor the effectiveness of established compliance processes and controls; recommend and implement enhancements

·         Assist regulators, auditors, Compliance Dept. personnel, and business unit management with regulatory exams and inquiries

·         Provide compliance support for new product initiatives

·         Integrate industry benchmarking and best practices through ongoing research, education and industry affiliations

·         Coordinate with other Compliance teams, Corporate Compliance, and other divisions as necessary


  • Strong competence and knowledge of securities and/or insurance regulations and operations
  • Well-versed in investment process, securities operations, and proper governance practices
  • 7-10 years of legal and/ or compliance or related experience
  • Experience initiating, directing, developing, implementing and maintaining written policies and procedures governing compliance activities
  • Understanding of customer transactions and communication, operational work flows, internet technologies, as well as development methodology for a complex multi-business environment
  • Ability to work and react quickly in a fast-paced, agile environment
  • Proven communication skills (verbal, written, interpersonal) sufficient to interact with all levels of management
  • Strong relationship management and experience with direct leadership of teams
  • Ability to interpret rules and analyze complex issues
  • Ability to reach sound judgments and act quickly under tight deadlines while balancing competing priorities
  • Creative and strategic approach to problem solving and change management
  • Proven analytical and project management skills
  • Bachelor's degree strongly preferred, Securities Licenses (e.g. Series 7, 63, 24) preferred, but not required


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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