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Vice President, Sales Support

Prudential


Location:
Iselin, NJ
Date:
01/18/2018
2018-01-182018-02-16
Job Code:
447518
Prudential
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Job Details

Position Title: Vice President, Sales Support
Job Code: 447518
Job Location: New Jersey-Iselin
Description:

Reporting directly to Prudential Advisors’ Vice President, Business Quality, the Vice President (VP), Sales Support is responsible for advising business leaders and sales executives on compliance matters and will have ultimate responsibility for implementation and approval of suitable sales or replacement of insurance and investment products sold by Prudential Advisors field producers.

 

The VP, Sales Support oversees and manages the Centralized Transaction Review (CTR) unit that consists of 60 employees, including three VPs. CTR is responsible for multiple compliance processes, including trending, electronic correspondence, suitability and replacement oversight of all securities transactions for Prudential Advisors firms located throughout the nation.

Key responsibilities include:

·Setting a strong compliance tone, business planning, workflow assessments, and staffing alignments within CTR

·Management of various projects, process and systems changes impacting the department.

·Act as liaison for the Broker Dealer in many aspects of SEC and FINRA audits

·Oversight for the creation and implementation of action plans necessary to address control deficiencies, or as a result of OSJ inspections, FINRA exams, SEC exams and any other regulatory inquiry.

·Oversight of CTR’s standard operating procedures

·Evaluation of new industry regulations and implements process and procedure changes as necessary.

·Oversight for training that the CTR team develops and implements to Pru Advisors Firm Management and Financial Professionals on supervisory and compliance issues

·Identify and ensure the development of talent throughout the organization

·Ensuring that the CTR Executive team interacts regularly with Managing Directors, Directors of Operations & Control and Financial Professionals on various policies and procedures related to Department of Labor (DOL) requirements, as well as exception requests to Company policy

 

 


  • Strong technical knowledge of Compliance regulations, insurance and financial services laws and a strong understanding of risk control principles, practices and procedures
  • Working knowledge of life insurance, annuities, mutual funds, general securities products and sales practices
  • Strong understanding of the financial services industry with emphasis on compliance perspectives
  • Track record of managing performance and accepting accountability
  • Ability to set strategic direction and engage/motivate others to follow the vision
  • Excellent organizational, time management and problem-solving skills
  • Demonstrated leadership, coaching, and change management
  • College degree or equivalent work experience

 

The following licenses are required within 120 days: Resident State Life and Health and State Variable Life and Annuity; FINRA Series 7, Series 63, Series 24, Series 26, and Series 51 or 53.

 

This position is located in Woodbridge, NJ


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: Call Center Operations
Schedule: Full-time
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