Vice President, Chief Compliance Officer Retail Advice & Solutions and Distribution
The Ethics and Compliance Department is seeking a Vice President, Chief Compliance Officer for Prudential’s Retail Advice & Solutions and Distribution. This highly visible role will oversee and set the strategy for the Compliance team supporting Prudential Advisors, which is a nationwide captive sales organization distributing Prudential life insurance, annuities and investment products with proprietary and non-proprietary investment options as well as select insurance, annuities and investment products from other carriers. They also offer certain retail brokerage and retail investment advisory services.
The successful candidate will also oversee a retail investment advisory compliance team and the chief compliance officers for Pruco Securities, Prudential Investment Management Services (PIMS), and Prudential Annuities Distributor (PAD), who will maintain accountability to the chief compliance officers of the businesses they support. Responsibilities include directing, developing, implementing and maintaining compliance monitoring, new policies, procedures, reporting, testing, tracking and applying regulatory priorities as well as industry best practices. Also, this role will lead a team responding to federal, state and SRO regulatory inquiries and examinations.