Director, Governance and Oversight, Prudential Advisors

Job Classification:

Corporate - Legal and Compliance

Prudential Advisors is hiring a Director, Governance & Oversight within the Relationship and Strategic Product Management Team. This role will report directly to the VP, Product Management and Governance with oversight for the Pruco limited broker dealer.
 

The Director, Governance & Oversight, will be the primary liaison with external and internal partner oversight and control functions, Prudential Investigations, and Prudential Employee Relations to ensure appropriate actions are imposed in a consistent and equitable manner. They will also oversee the development, implementation, and ongoing management of the Prudential Advisor’s personnel administration program (disciplinary) and maintenance of applicable policies and procedures.
 

The ideal candidate exhibits pro-active collaborative skills and can build and maintain key business relationships with internal and external business partners and demonstrate strong leadership capabilities.
 

The incumbent will be expected to take the lead and act as a subject matter resource on various projects with a regulatory and risk focus to assist in ensuring adherence with applicable rules, regulations and company policies. They must be able to think strategically, identify areas for efficiency and make key decisions impacting the programs being supported with little direct supervision.
 

Key Responsibilities:

• Lead and be the key decision maker for Prudential regulatory escalations
• Primary subject matter expert and partner for regulatory escalations. Including partnering with key internal and external partners on various control related issues, including collaborating on process improvements
• Manage and enhance Prudential Advisor’s advisor regulatory administrative process
• Keep abreast of regulatory, compliance and industry trends to help influence critical decision making (e.g. new Rules/Regs, industry fines/actions)
• Influence partners and stakeholders on disciplinary/administrative outcomes
• Communicate with and prepare executive-level documentation / presentations
• Respond to inquiries from various state and federal regulatory organizations
• Collaborate with key business partners, including Senior PA Leadership, Human Resources, Business Law, Compliance, Risk and Employment Law
• Recommend and implement enhancements to required processes based upon current trends
• Address and resolve licensing and appointment related issues and disconnects

Qualifications:

• Bachelor’s degree or relevant work experience required
• 5 years minimum compliance, oversight or regulatory environment experience
• Experience with Human Resource / Employment related issues a plus
• Experience working directly with multiple levels of leadership
• Proven analytical skills, highly self-motivated, excellent communication and organizational skills, and flexibility in managing multiple tasks concurrently
• Proficient in the Microsoft suite of software (Outlook, Word, Excel, Powerpoint)

What we offer you:

Prudential is required by state specific laws to include the salary range for this role when hiring a resident in applicable locations. The salary range for this role is from $136,200.00 to $204,400.00. Specific pricing for the role may vary within the above range based on many factors including geographic location, candidate experience, and skills.

• Market competitive base salaries, with a yearly bonus potential at every level. 

• Medical, dental, vision, life insurance, disability insurance, Paid Time Off (PTO), and leave of absences, such as parental and military leave. 

• 401(k) plan with company match (up to 4%). 

• Company-funded pension plan. 

• Wellness Programs including up to $1,600 a year for reimbursement of items purchased to support personal wellbeing needs. 

• Work/Life Resources to help support topics such as parenting, housing, senior care, finances, pets, legal matters, education, emotional and mental health, and career development.  

• Education Benefit to help finance traditional college enrollment toward obtaining an approved degree and many accredited certificate programs.  

• Employee Stock Purchase Plan: Shares can be purchased at 85% of the lower of two prices (Beginning or End of the purchase period), after one year of service. 

Eligibility to participate in a discretionary annual incentive program is subject to the rules governing the program, whereby an award, if any, depends on various factors including, without limitation, individual and organizational performance. To find out more about our Total Rewards package, visit Work Life Balance | Prudential Careers. Some of the above benefits may not apply to part-time employees scheduled to work less than 20 hours per week.