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Regulatory Supervisory Specialist

Prudential Financial, Dubuque, IA

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Prudential Retirement?s mission and strategy will focus on building lasting relationships with our Individual customers.  The Individual Segment Solutions (ISS) team delivers education, solutions and recommendations to our individual customers in order to help fulfill their overall financial wellness needs. The Governance & Controls team within ISS oversees centralized governance and control functions required to support ISS in their endeavors to enable the delivery of broad holistic individual & benefit financial solutions that support both Retirement and broad Prudential Financial objectives. This role will support the important work of this team and be responsible for the following: 
  • 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)

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Job Details

Req Num ISS0000G
ID 499255
Dubuque, IA
Positions 1
Full Time
Pay --
Banking/Mortgage/Financial Services

Preferred Candidates

Years of Experience 2-5 Years
Education --

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