Analyst, Compliance

The primary responsibility of the Field Office Examiner is to conduct field office examinations of Agency Distribution Field Agencies. These examinations are performed annually in order to evaluate the adequacy of supervision and compliance related controls. In addition, an important aspect of this position is to also provide ongoing compliance education/support to field associates in conjunction with these visits. Field Office Examiners are expected to:


Plan inspections by gathering pertinent records, analyzing the information in order to identify issues for review during the inspection, and solicit input with regard to agency activities from other Agency Distribution and Compliance units.

Leading and executing the field office inspection procedures during the visit. This entails review of applicable Company policy and procedure with Agency Management, testing the adequacy of control systems, and discussing the results of the inspection with Management. The Field Office Examiner must also look for and assess risks unique to that office that were not addressed in the standard inspection process.

Document controls and issues discussed during the exam and prepare written reports outlining the results of the examination work performed.

Support Field Management and business channel contacts by researching questions or handling compliance related issues as they arise.

This position will require overnight travel of approximately 30 - 35%.


 


Qualifications:


Working knowledge of Company and Regulatory rules and requirements (i.e. NASD, SEC, and State Securities and Insurance rules and regulations).

Ability to effectively analyze and evaluate the effectiveness of control systems.

Strong analytical and risk analysis skills.

Excellent interpersonal and relationship building skills including the ability to effectively interact with Home Office personnel, Agency Management, and Agents.

Strong oral and written communication skills.

Strong understanding of field operations.

Knowledge of insurance, annuity, and mutual fund products and features.

The successful candidate must be highly motivated and able to juggle priorities in a constantly changing environment.

College degree and NASD Series 6 and 26 registrations preferred.



Any applicant selected for this position will be required to submit to an extensive background screening and a credit check. Failure to comply will eliminate an applicant from consideration for this position. Any negative information obtained as a result of the background screening may result in the disqualification of the applicant from this and any other position in Prudential, including their current position if they are an internal applicant.


Prudential is an Equal Opportunity/Affirmative Action Employer and is committed to diversity in its workforce.


 

Education: Bachelors (BBA/BA/BS) or equivalent experience
Job Level: 4-6 Years
Percent Travel: 25-50 %