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Manager, Regulatory Supervision


Iselin, NJ
Job Code:
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Job Details

Position Title: Manager, Regulatory Supervision
Job Code: 448758
Job Location: New Jersey-Iselin
The Manager, Centralized Transaction Review (CTR) is responsible for supervision of one of two Specialist pools in CTR. He/she will have direct supervisory responsibilities for a Senior Specialist with overall responsibility for a team of seven.
Specific responsibilities include:
Supervision of Transactional Reviews
Directs and supervises activities of a team of Specialists and Sr. Specialists; provides training, development and subject matter expert to her/his team:
  • Supervises case loads and case completion for their unit
  • Oversees the Specialist and Senior Specialist involvement in the review of suitability and replacement transactions.
  • Acts as a resource to Specialists & Senior Specialists and review SPOCS cases escalated by Specialists. This position will also be responsible for any client outreach that may be required.
  • Ensures the Senior Specialist’s supervision of the incoming mail process (including e-mail, US Mail, and faxes) through the design of metrics and reports.
  • Review and approve standardized client communications; i.e., correction of non-material forms errors.
Other responsibilities:
  • Monitors and coordinates Senior Specialists’ attendance/PTO requests.
  • Monitors and coordinates regular desk audits for Specialist team.
  • Ultimately responsible, with input and feedback from the Sr. Specialist for all mid-year and annual performance appraisals.
  • Supervises the Sr. Specialists’ investigations of Long Term Care and 3rd Party SPOCs matches.
  • Responsible for the review of all QR feedback for the team as well as implementing any corrective actions that may be required based on this feedback.
  • Monthly huddle participation
  • Ongoing OSJ responsibilities as delegated (e.g. Quarterly Checklist, Annual Compliance Meeting Coordination, etc)
  • Ongoing departmental responsibilities (e.g. Operations models, Document Retention, Business Continuation, etc)
  • Ad Hoc projects as assigned by Regional VP.
Prudential Advisors is Prudential's nationwide sales organization.

The Manager must possess strong analytical and communication skills; a demonstrated knowledge of insurance and investment products; an understanding of the sales and service processes; knowledge of company policies and processes; company systems; and a strong knowledge and understanding of compliance requirements and regulations.
Ability to work with a diverse group of people including producers, home office and sales management is key.
The candidate will be required to obtain FINRA Series 6 and Series 26 registrations within 180 days; Series 7 and 24 preferred.

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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