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Senior Associate, Advisor Hiring and Oversight
Prudential Securities
Dresher, PA, United States
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Description
The Sr. Associate, Advisor Hiring & Oversight implements compliance oversight procedures, with limited supervision in exception situations. He or she should possess basic knowledge of the principles, concepts, and practices of the compliance discipline and applies them to their basic understanding of Prudential product functions. Successful candidate will identify problems and informs and assists compliance management in their resolution.
This role is responsible for reviewing complex cases involving the adherence to the terms of sales professional contracts and compliance with exclusive agreements with external carriers, and analysis of policy exception requests. This includes communication with both field and back office leadership and may require customer and producer outreach.
Qualifications
• Minimum of three years of compliance or related experience
• Bachelor's degree or equivalent experience
• Proficiency in Microsoft Office suite
• Highly motivated and able to manage multiple priorities
• Strong written and oral communication skills.
• Solid analytical skills with the ability to conduct research and draw appropriate conclusions
• Able to work independently and in a team environment