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Senior Analyst, Regulatory Supervision


Newark, NJ
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Job Details

Position Title: Senior Analyst, Regulatory Supervision
Job Code: 448539
Job Location: New Jersey-Newark
Why Join Prudential?
Prudential is a company of smart, ambitious professionals working together across a multitude of disciplines. Together, we are building a better financial future for our customers and our communities around the globe.  At Prudential, we understand that a company is only as good as its people. This simple fact is central to all that we do.  We call it “the Talent Mindset” – a company-wide commitment to attract and develop the dedicated professionals whose insights, innovation, and hard work fuel our success and make us a global leader in financial services.
As a Senior Analyst, Regulatory Supervision in Individual Life Insurance (ILI), you will provide business level support in the areas of compliance and risk to the Distribution & Sales organization.  You will consult with senior management of Compliance and the business to provide oversight of critical functions, establish necessary procedures, assist in policy implementation, and offer ongoing guidance to business unit employees for critical functions performed. In addition,  you will assist with Office of Supervisory Jurisdiction (OSJ) reviews, Risk Control Self Assessments (RCSAs), and Internal Audit response and the resulting action plans resolution. You will also perform testing and quality reviews of control, identify compliance issues and risks, implement compliance controls and operating procedures, provide project management for compliance projects, that support ILI Distribution & Sales  and develop and administer training on policies and procedures. Skills critical to this role include risk analysis, project management, leadership and business expertise.
  • Refining compliance controls in collaboration with business partners (Compliance, Risk Management, Law)
  • Coordinating qualitative research initiatives and present formal recommendations to management
  •  Leading efforts to develop new or revised processes/procedures for the assigned business area
  • Developing presentations for key stakeholders
  • Working independently and with management to scope, plan and manage complex project efforts (e.g., divisional, multiple project teams)
  • Developing compliance related communication for the field
Does this sound like you?  Our successful candidate has:
  • Excellent written and oral communication skills with the ability to interact effectively and professionally with all levels of the organization
  • Team player and self-starter with the ability to work independently and prioritize work
  • Ability to build and manage internal relationships effectively with control partners
  • Strong presentation skills
  • Ability to ask critical questions to drive resolutions

  • BS or BA or equivalent business experience
  • FINRA Series 6 (or Series 7) required and must be obtained within 180 days from date of hire
  • 5 years of financial services experience
  • Strong writing/documenting skills to assist with training, policies and procedures, risk assessments, etc.
  • Ability to direct, moderate and negotiate multi-functional groups 
  • Leadership skills such as coaching and relationship building
  • Ability to deal with and resolve conflicting and competing demands 
  • Cross division/Company-wide business knowledge
  • Proficient PC Skills – Word /Excel/Power Point/Internet methodologies

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