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Vice President, Governance & Controls-Individual Segment Solutions


Hartford, CT
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Job Details

Position Title: Vice President, Governance & Controls-Individual Segment Solutions
Job Code: 403818
Job Location: Connecticut-Hartford
Prudential Retirement’s mission and strategy will focus on building lasting relationships will all our Individual customers.  The newly formed Individual Segment solutions team will deliver education, solutions and advice to our individual customers in order to help fulfill their overall financial wellness needs.   In an effort to support the new Individual Segment Solutions team, a new role is being established to centralize all of the control and governance functions that will be required to support ISS in their endeavors to enable the delivery of broad holistic individual & benefit financial solutions that support both Retirement and broad PI objectives. This leader will ensure compliance with all necessary audits, as well as risk and regulatory control requirements and serve as the point person for the Individual Segment Solutions Team in various governance, audit & regulatory matters.   The leader will be responsible for the following: 
  • Developing, maintaining and ensuring team adherence to all appropriate policies & procedures associated with the delivery of Individual Solutions.
  • Leading, coordinating and assisting with adherence to all activities that support Risk, Audit and Compliance functions, including: Risk assessments, business attestations & vendor oversight.
  • Coordinating with Retirement Strategy & Planning team to provide support for all Audit, Risk & Compliance requests to support audits and activities related to audits. This includes documentation of findings and action plans related to audits and findings (over 14 auditing entities).
  • Primary business liaison to external self- regulatory bodies and regulatory agencies (FINRA, SEC, OCC, State Ins. Departments, DOL, IRS etc.) representing the business in matters relevant to those parties.
  • Lead Liaison to Compliance, Risk, Legal and PIMS.
  • Act as a Supervisory Principal with direct accountability for oversight and management of supervisory system supporting the individual segment, leading quarterly governance meetings, handle policy and control system changes, etc.
  • Implementing & oversight of all requirements associated to compliance of DOL Fiduciary Definition and other pertinent new regulations; this could include supervising a team of individuals supporting the efforts.
  • Overseeing all licensing and Supervisory Principal review activities for all Individual Segment Solutions team members.
  • Leader of all Business System controls - G&E, licensing structures and expense management, managing of customer complaints through a centralized process.
  • Responsible to ensure team adherence to client contractual and ASA requirements.
  • Understanding of the regulatory environment as it relates to selling practices in the Retirement space, and oversight for all regulatory implementations.
  • Full understanding of the various regulatory bodies and their requirements (PIMS, GPSI, PRIAC etc.)
  • Leading a team of governance/control specialists.

  • Demonstrated leadership experience with a strong understanding of  retail sales & selling practices
  • Deep Regulatory and Legislative Knowledge and experience as it relates to the Financial Services Industry, not restricted to Retirement industry
  • Minimum of five years of financial services experience with a focus on institutional individual customers (retirement, equity plan and/or group businesses, annuities and life insurance product knowledge a plus) 
  • Experience in SEC, Insurance, BD, ERISA & DOL regulations that govern our business activities to ensure compliance
  • Minimum of five years of experience with Institutional Customers and the needs of their employees in all market segments
  • Previous experience in audits, business continuation, risk or control functions a plus
  • Knowledge of all requirements necessary for compliance to internal and external audits
  • Prior roles in product and customer experience roles with exposure to institutional business lines (retirement or group benefit businesses) would be a strong plus
  • A four-year degree or equivalent work experience
  • Securities and insurance licenses (supervisory principle, Series 7, 24, and appropriate insurance licenses) either upon hire or within 90 days of hire
  • Knowledge of all requirements associated to complaint handing compliance
  • Five years of demonstrated leadership skills
  • Strong ability to collaborate and work across BUs without formal authority
  • Strong presentation skills
  • Ability to travel up to 30%

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: Customer Service and Call Center
Schedule: Full-time
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