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Vice President, Audit/Regulatory Compliance Risk Lead


Newark, NJ
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Job Details

Position Title: Vice President, Audit/Regulatory Compliance Risk Lead
Job Code: 348757
Job Location: New Jersey-Newark

This Vice President position within Prudential's Internal Audit Department is responsible for providing technical expertise on Regulatory Compliance related risks and processes in the Insurance/Financial Services arena, as well as overseeing the establishment and implementation of an Audit Approach and Plan to ensure adequate audit coverage of such risks globally across Prudential.   The role is also responsible for overseeing the establishment and implementation of an Audit Approach and Plan to ensure adequate audit coverage of the company’s corporate Law, Compliance, Business Ethics & External Affairs (LCBE) functions.  This is a high-profile position that provides the opportunity for a seasoned professional with experience in Insurance/Financial Services Regulatory Compliance arena to work with and direct audit professionals and teams focused on global coverage of Regulatory compliance risks and corporate LCBE activities as well as be responsible for maintaining relationships with and communicating audit results to Audit Department leaders, regulators, as well as senior business leaders responsible for the management and oversight of legal and compliance related risks and processes across Prudential.  In addition to technical expertise, this position requires resourcefulness, good judgment, persistence, the ability to influence and build relationships with others as well as strong communication skills and leadership qualities.


Core Responsibilities: 

  • Obtaining a comprehensive understanding of the various regulatory compliance related risks and the controls established by management to manage these risks and serving as an authoritative resource to the Department on current and emerging compliance related risks as well as regulatory and industry developments that impact those risks.
  • Developing, implementing and directing the execution of a comprehensive risk based audit plan to ensure appropriate coverage of the key Compliance related risks across the Company’s domestic and International businesses including how such risks are overseen by the corporate control functions serving as the Company’s second line of defense. 
  • Utilizing his/her expertise and leadership skills to develop and implement an Audit Approach and Plan across the corporate Law, Compliance, Business Ethics & External Affairs organization as well as covering regulatory activities related to Anti-Money Laundering, Anti Bribery/Foreign Corrupt Practices Act among others. 
  • Developing Compliance related risk, control and audit testing guidance to ensure consistency of audit approach across the company's various businesses including the dissemination of better audit practices.
  • Building and maintaining collaborative relationships with Audit Department executives and staff in US and International locations as well as key executives in the businesses and in the legal and compliance functions serving as the company’s second line to defense, to facilitate the execution of the audit plan as well as the communication and sharing of observations, information and ideas.  Partnering with audit teams across the Department to achieve consistent, coordinated, horizontal coverage of compliance related risks.
  • Monitoring issues and trends throughout the year with the goal of developing and communicating a view as to the design and effectiveness of the processes and controls related to regulatory compliance related risks that will be shared with Chief Compliance and Legal Officers as well as other senior business, legal and compliance management across the company.
  • Remaining current with emerging risks and industry views on key regulations as well as Company initiatives designed to monitor and manage these exposures so as to adapt audit methodology and approach as appropriate.
  • Developing a talent strategy to support the coverage of Regulatory Compliance related risks.  This strategy includes enhancing the technical competencies of our audit staff assigned to Compliance related audits to ensure they have the requisite experience and skill sets to execute a quality audit program and to ensure they are informed and educated about emerging risks. This responsibility will include the development of a Learning and Development program designed to elevate the Department’s level of Regulatory Compliance related expertise.

In addition to 15 years of experience in the financial services industry as a Compliance professional and/or leader in Regulatory Examination, Risk Management and Internal Audit roles, the successful candidate must possess a high level of executive presence and energy, and be highly collaborative, with the strength and confidence/courage to serve as a completely independent and objective assessor of Regulatory Compliance related risks and controls across the organization.  Other qualifications include:

  • A proactive, driven leader with the ability to operate effectively from the conceptual stage through to successful implementation.
  • Excellent listening and communication (oral and written) skills in order to effectively interface with all levels of leadership.
  • A highly organized and disciplined individual able to effectively develop as well as manage and influence a team of experienced audit professionals across a complex, global organization.
  • 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.
  • Possesses a thirst for knowledge, is highly inquisitive and is interested in learning new processes and disciplines. Other relevant qualifications considered, but not required:
  • Experience working at and/or interacting with financial services/insurance regulators (SEC, FINRA, DOI, DOL, Fed etc.) is highly desirable
  • Licenses or designations including, among others:  Certified Anti-Money Laundering Specialist (CAMS), Series 6 or 7 license is a plus.

  • Knowledge of risk assessment, control analysis and auditing/testing techniques
  • Bachelor’s degree strongly preferred

This position is based in Newark, New Jersey; however some travel to corporate business locations (less than 15%) may be required.

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
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