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Regulatory Supervision Analyst

Prudential


Location:
Iselin, NJ
Date:
02/16/2018
2018-02-162018-03-17
Job Code:
449338
Prudential
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Job Details

Position Title: Regulatory Supervision Analyst
Job Code: 449338
Job Location: New Jersey-Iselin
Description:

Prudential Advisors’ financial professionals bring families and individuals appropriate options in the form of advice and guidance by selling insurance, annuities, investments, and other fee-based planning services. The Analyst will work closely with Prudential Advisor field producers and Senior Management to review transactions and process for suitability, life replacements, disconnect issues, email review, and internet searches.

 

As needed, the Analyst will conduct outreach calls with clients to determine the clients' understanding of the purchase. Additionally, this role will approve mid-level complexity Protegent and replacement cases. To qualify, you must be knowledgeable in U.S. Federal and State compliance regulations.


  • Bachelor's degree preferred
  • Minimum 3 years professional experience in financial services industry

  • Strong knowledge and understanding of compliance requirements and regulations in financial services; broker/dealer laws and regulations

  • Knowledge of insurance and investment products, sales and service processes, marketing review

  • Strong relationship building and management skills; able to work with and manage relationships with a diverse group of individuals, including producers, home office partners and sales executives.

  • Active FINRA Series 6, 26, 7 and 24 license desired; Series 7 and 24 FINRA Registrations required within 1 year of hire. Additional licenses/registrations will be encouraged to support growth within the position. 

 

 


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 www.prudential.com 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 staffingagencies@prudential.com for more information about doing business with Prudential.
Job Function: Compliance
Schedule: Full-time
Apply on the Company Site
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