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Manager, Regulatory Supervision
Prudential Securities
Roseland, NJ, United States
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Description
The Group Insurance Distribution organization is seeking a highly motivated individual to assist in the execution of various control functions including information security, records management, business continuation, gifts and entertainment, expense management, and regulatory monitoring functions for Distribution. This newly created position will report to the Director, Operations and Controls (O&C) and will provide control support to a geographically dispersed organization of approximately 325 employees in over 30 U.S. locations. The incumbent is expected to become a subject matter expert in these disciplines to help ensure compliance with applicable rules, regulations and company policies while partnering with local contacts, the leadership team, and corporate functions.
Several key responsibilities of the position include:
• Assisting in the creation, revision, and communication of procedures and other tools to reinforce compliance in Distribution for business information security, business continuation, records management, privacy, gifts & entertainment and other compliance related topics.
• Reviewing regulatory alerts, action plan creation, and implementation.
• Managing projects including the identification of resources and ensuring business needs are met. This would include leading teams, meetings, and collaborating with business partners.
• Providing training, as necessary to ensure proper understanding and utilization of compliance procedures.
• Driving continuous process improvement (e.g. efficiencies, controls, governance) in partnership with internal stakeholders and the Director of Operations & Controls.
• Partnering with Distribution in the completion of Risk Assessments and Audits, including assisting in action plan creation and completion.
• Maintaining an inventory of disclosure forms.
Qualifications
• 3 - 5 years experience in one or more of the following disciplines: information security, vendor management, system audit/application development, operations management, privacy, business continuation or other control type functions
• Compliance or risk background preferred.
• Experience in developing procedures and completing risk assessments
• Demonstrated ability to build and sustain strong relationships with internal and external partners/ key contacts at all levels across the organization including but not limited to Corporate Information Security Office, Corporate Technology Management, Corporate Business Continuation, Risk Management, Audit, Privacy Office as well as Distribution leadership
• Strong project management skills
• Ability to work individually and demonstrate drive, persistence, and personal ownership of assignments
• Ability to work in teams and actively participate in making decisions and show problem-solving capabilities
• Possess excellent analytical and organizational skills.
• Excellent communication skills both written and verbal
• Excellent communication, presentation and facilitation skills
• Proficiency in Excel, Word, and Powerpoint