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Director, Regulatory Compliance Risks, Internal Audit


Newark, NJ
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Job Details

Position Title: Director, Regulatory Compliance Risks, Internal Audit
Job Code: 428639
Job Location: New Jersey-Newark

Are you looking for an opportunity to work in a fast-paced, highly diversified environment that allows you to apply your expertise, assess risk, plan strategically and lead and execute audits of Prudential’s compliance risks?  If so, we are looking for an experienced compliance professional or auditor with experience in the insurance/financial services regulatory compliance arena.  Candidates with related experience and/or insurance product knowledge should apply.


The Ideal Candidate

Are you fully capable of leading all aspects of an audit engagement, including planning, risk and control analysis, testing, issue development and reporting?  Do you have a solid familiarity with applicable insurance/financial services regulations governed by SEC, FINRA, State Departments of Insurance, etc.?  Are you a proven leader, project manager and person with the innate ability to collaborate with and influence business leaders?  If so, we want to meet you!


As the Senior Audit Manager, Regulatory Compliance Risks, you will be responsible for the following:

·        Leading the development and implementation of a comprehensive risk based audit approach to ensure adequate coverage of key regulatory compliance risks across the domestic and International businesses

·        Leading audits of key regulatory compliance risks, as well as audits of the Law, Compliance, Business Ethics & External Affairs (LCBE) functions 

·        Developing compliance related risk, control and audit testing guidance to ensure consistency of audit approach across the company’s various businesses

·        Monitoring issues and trends related to regulatory compliance risks and incorporating into key discussions with senior management 


What will my Role at Prudential look like?

Prudential is a company of smart, ambitious professionals working together to create a better future for our customers and our communities around the globe. As one of the most recognizable financial services companies in the world, our employees are building on our 140-year history of financial strength with a focus on innovation and transformation to meet tomorrow’s most complicated challenges. We are committed to growth and development of every single employee, and we see our business success as a direct result of our talent.

The Internal Audit Department serves to protect the Company by improving the management of risks and the effectiveness of the control environment at the business, function and enterprise levels through valued independent assessments and advice on governance, risk and control. Our structure mirrors the business system which allows us to view risks vertically and horizontally – providing opportunities to generate value within and across our businesses and corporate functions. 

About You

You are very organized and are fully capable of managing priorities and achieving absolute deadlines.  You exhibit a high level of professional presence and energy and are collaborative, with the strength and confidence to serve as an independent and objective assessor of Regulatory Compliance related risks and controls across the organization.   You can establish and maintain relationships with key stakeholders within our business and corporate functions.  You enjoy data analysis and are looking for an opportunity to increase your exposure in this space.


  • 8 years of insurance/financial services experience in a regulatory compliance or audit/control function
  • Experience working at and/or interacting with financial services/insurance regulators (SEC, FINRA, DOI, DOL, Fed, etc.) is highly desirable
  • Experience working effectively both independently as well as in a team environment
  • Experience leading teams with a proven record of developing junior associates
  • Outstanding communication skills, both oral and written, and ability to confidently discuss audit issues with management and develop business-focused recommendations
  • Superior relationship management skills with the ability to partner and build professional relationships effectively with Audit leaders as well as those across multiple business groups, corporate functions and control organizations.
  • Knowledge of risk assessment, control analysis and auditing/testing techniques
  • Business related Bachelor’s degree is required. 
  • Designations or licenses in compliance or audit related disciplines is a plus (CIA, CFE, CAMS, CPA, AIRC, CRCP, Series 6 or 7 license)

Ability to travel to local locations outside of Newark, on occasion, and work outside of “normal” business hours when interactions with our international offices arise.

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