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Senior Associate, Regulatory Supervision


Iselin, NJ
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Job Details

Position Title: Senior Associate, Regulatory Supervision
Job Code: 398638
Job Location: New Jersey-Iselin
The Specialist is part of Prudential’s Centralized Transaction Review Unit (CTR), which is charged with suitability review of insurance, annuity, and investment product sales by the company’s Financial Professionals. The incumbent is responsible for review of adequacy and accuracy of documentation used in support of suitability and replacement transaction reviews, applying basic knowledge of U.S. Federal and state compliance regulations, as well as company policies and requirements. Additional responsibilities include review of transactional matches detected by the SPOCS system, which is used to detect potential violations of company replacement guidelines. The Specialist works with the CTR Analysts in discussion of cases in preparation for their final review. The incumbent will also be responsible for accurately completing paperwork required of Financial Professionals when funding a new product with proceeds from an Employer Sponsored Plan.

  • The successful candidate should have a working knowledge and understanding of compliance requirements and regulations, basic knowledge of insurance and investment products, basic understanding of company sales and service processes, and company proprietary systems. 
  • Possesses the ability to work with diverse groups of people, including financial professionals, home office associates, and firm management. 
  • Financial services industry experience is a plus, as well as recent exposure to insurance and broker/dealer laws and regulations, company compliance policy, and a basic familiarity with Prudential products and services, systems and processes.
  • Firm experience is a plus for this position. 
  • The successful candidate is highly encouraged to obtain the Series 7 & 24 within one year of hire.

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: General Compliance
Schedule: Full-time
Apply on the Company Site

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