Regulatory Supervisory SpecialistPrudential Financial, Dubuque, IA
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For more than 140 years, Prudential has delivered products and services that help address the financial challenges of individual and institutional customers. Today, with operations in the United States, Asia, Europe and Latin America, Prudential is among the world’s largest financial services companies. Building your career at Prudential offers you the opportunity to truly make a difference.
- Conduct Supervisory Principal work to ensure adherence to all regulatory requirements and internal processes/procedures. This includes but is not limited to, reviews of suitability, account/transaction, written correspondence and emails.
- Maintenance of Written Supervisory Procedures (WSPs) and general procedural workflows
- Participation in various SP forums.
- Help ensure team and department adherence to applicable regulatory rules and requirements, such as DOL Fiduciary Rule (Best Interest Contract reviews, call monitoring reviews, etc).
- Supporting internal/external audits and regulator related activities. This includes but is not limited to, providing requested information/reports timely, assisting with audit testing, attending required meetings, reviewing and supporting action plans. SSAE16 reviews, OSJ inspections, Separate Account Policy testing, Regulatory Inquiries and Exams (FINRA, SEC, DOL, OCC, IRS)
- Supporting other Governance/Control functions within the team to ensure suitable cross training/business continuity coverage and appropriate risk management (i.e. business continuation planning, records administration, privacy assessments/reporting, vendor governance, etc).
- Interfacing with control partners (Risk, Compliance, Law, etc) on various projects and initiatives as needed.
- Bachelor?s degree or equivalent work experience
- FINRA, SEC, DOL regulatory/compliance knowledge required; banking regulatory/compliance knowledge a plus
- Minimum of two years of Supervisory Principal experience with a focus on institutional and retail individual retirement customer accounts
- Appropriate securities (FINRA 7/24) and insurance licensing required; FINRA Series 4 Options Principal a plus
- Strong interpersonal skills, written and verbal skills, and ability to work effectively as part of a team
- Prior customer service experience preferred, including direct contact with customers over phone and via written communications
- Ability to multi-task effectively with a proven track record of working independently and delivering against aggressive deadlines in both a routine and complex environment
- Ability to adapt quickly to changes in the environment
- Experience with internal and external audits desired
- Strong ability to collaborate and work across teams/business units without formal authority
- Attention to detail and strong analytical/problem solving skills, including the ability to assess data and determine important and actionable tactics
- Ability to effectively identify, manage and mitigate risks.
- Knowledge of MS Office suite (e.g. Project, PowerPoint, Excel, Word, Outlook, Sharepoint)