Senior Associate, Compliance

The Licensing & Registration Unit is seeking an individual to join the Compliance Department at our location in Lower Manhattan, NY. This individual will be part of a team that is responsible for conducting due diligence on potential employees or third party producers.

The Licensing & Registration Unit services all of Prudentials business units for their licensing, registration and pre-hire activity. As a compliance department, Licensing & Registration ensures that proper filings are completed with each regulatory so that the firm hires only qualified applicants and the firms registrants and licensees hold the proper qualifications to complete insurance and securities financial transactions.

This position will be within the Pre-Hire Unit where the primary focus of the position will be:

Thorough review/analysis of pre-hire and background documents including, but not limited to, credit, criminal and motor vehicle reports as well as Web CRD records. Review of paperwork such as court documents and bankruptcy or lien documents may also be required.
Issuing decisions to approve or deny pre-hire and background cases based on review of above documents
Maintaining accurate pre-hire/background data on Prudentials licensing database.
Interaction with document imaging system


Job Requirements:


Qualified applicants for this position should possess the following skills:

At least 3 years of Compliance or Financial Operations experience
Experience in a broker/dealer or insurance carrier licensing or registration department a plus
Ability to make quick, yet sound, decisions and providing clear, concise basis for decision
Ability to solve practical problems and deal with a variety of concrete variables
Experience working in a detail-oriented position
Excellent organization and time management skills
Experience working in a transaction-based environment a plus
Ability to read and interpret documents such as procedure manuals and information matrixes
Ability to communicate and collaborate with coworkers in a team-oriented environment
Proficiency in Microsoft Office





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

Education: None
Job Level: 1-3 Years
Percent Travel: No Travel