Director - Broker Dealer / RIA Operations Compliance in Newark, New Jersey | DiversityInc Careers
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Director - Broker Dealer / RIA Operations Compliance

About the position

Are you an experienced, hands-on securities Compliance professional who is ready to contribute to building an oversight program for an investment advisor servicing retail affluent and mass affluent customers? Are you someone that has experience creating and maintaining operational efficiency and developing proper internal controls to meet changing business needs?

Do you want to work in a startup environment inside a company with tremendous history, significant operating cash flow, and earnings? Do you recognize the importance of a strong organizational culture and can motivate a fast-paced, results-oriented team that is technology enabled?

If so, we may have an exciting new opportunity for you at Prudential!

The Customer Office at Prudential is a team that merges the entrepreneurial spirit of a start-up with the stability of one of the world's most established financial services companies to deliver best in class experiences to our customers. It’s an exciting and engaging environment with an agile mindset where team-members are encouraged to expand their skills, test creative boundaries, share new ideas, and, most importantly, have fun.

Our fast-paced organization is seeking a dynamic and resourceful Compliance professional who will be responsible for building a business compliance oversight program in a highly complex and regulated financial services organization. This person will help direct and execute the business vision and be challenged to blend customer-centric principles with industry-changing innovation and regulatory complexity. This person will also partner with numerous internal leaders to generate ideas to enhance the program over time, and increasing the effectiveness of the oversight program. This individual will report to the Vice President, Advisory Operations within the Customer Office.

Key Responsibilities:

·          Design and implement a business oversight program for the broker dealer / registered investment adviser business unit that is effective in preventing, detecting and mitigating violations of applicable law or Prudential policies. Develop line of sight around enterprise-wide issues and be integral in proposing and implementing enterprise-wide solutions.

·          Responsible for directing, developing, implementing and maintaining compliance monitoring, new policies, procedures, regulatory filings, reporting, testing, tracking and applying regulatory priorities as well as industry best practices.

·          Responsible for ensuring Form ADV, client agreements, privacy policies, written supervisory procedures, and other disclosures are continually reviewed and updated.

·          Administer all compliance policies and procedures for the business unit.

·          Promote, protect and set the tone to reflect the Company’s reputation for ethics, integrity and honesty in all dealings.

·          Monitor the business’s effectiveness in implementing established compliance processes and controls; recommend and implement enhancements.

·          Assist regulators, auditors, Compliance Dept. personnel, and business unit management with regulatory exams and inquiries.

·          Provide compliance support for new product initiatives.

·          Integrate industry benchmarking and best practices through ongoing research, education and industry affiliations.

·          Collaborate with other Compliance teams, Corporate Compliance, and colleagues across Prudential.


·          Strong competence and knowledge of Broker Dealer and Registered Investment Advisor regulations and operations

·          Well-versed in investment processes, securities operations, and proper governance practices

·          5 plus years of legal, compliance or broker dealer business risk-related experience

·          Experience initiating, directing, developing, implementing and maintaining written policies and procedures governing compliance activities, including Form ADV and client agreements

·          Understanding of customer transactions and communication, operational work flows, internet technologies, as well as development methodology for a complex multi-business environment

·          Ability to work and react quickly in a fast-paced, agile environment

·          Outstanding communication skills (verbal, written, interpersonal) sufficient to interact with all levels of management

·          Strong relationship management and experience with direct leadership of teams

·          Ability to interpret rules and analyze complex issues

·          Ability to reach sound judgments and act quickly under tight deadlines while balancing competing priorities

·          Creative and strategic approach to problem solving and change management

·          Proven analytical and project management skills

·          Bachelor's degree

·          Securities Licenses (e.g. Series 7,66 required)

Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America. Leveraging its heritage of life insurance and asset management expertise, Prudential is focused on helping individual and institutional customers grow and protect their wealth. The company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset management, and real estate services.

We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit to learn more about our values, our history and our brand.

Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law.

Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at for more information about doing business with Prudential.