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Process Management Specialist
Prudential Securities
Newark, NJ, United States
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Description
The Office of Regulatory Examination Management, a unit within Prudential’s Law Department, has responsibility for receiving and responding to inquiries and requests for information from regulatory agencies involving agent terminations, agent activities related to sales practice issues, investigations, third party brokers, various regulatory filings, etc. Regulatory agencies include: State Departments of Insurance, Securities & Exchange Commission, State Securities and Financial Industry Regulatory Authority.
The Process Management Specialist will research and prepare timely and complete written responses to inquiries from regulatory agencies, interact directly with regulators, handle their requests with the appropriate sense of urgency and build positive relationships with the regulators. This position will also work with various Business Units (including Field Offices) and attorneys in the Law Department to develop complete and appropriate responses to inquiries. Input information related to regulatory inquiries into the Enterprise Team Connect System. Ability to recognize priority issues in need of special attention is imperative.
Individual may also be responsible for supervising staff and working on additional assignments as needed, providing back-up support to Regulatory Examinations and submitting regulatory filings.
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Qualifications
• The successful candidate must be highly motivated and able to handle multiple priorities while working under time constraints in a fast-paced environment
• Excellent verbal and written communication skills.
• Supervisory and/or management experience required
• Excellent leadership, interpersonal and relationship building skills
• Flexibility to positively adjust to changes in the workplace
• Ability to conduct research, draw appropriate conclusions and summarize conclusions in written correspondence
• Experience dealing with regulatory agencies and/or compliance related matters preferred
• Demonstrated initiative, positive attitude and good judgment
• 5 years insurance/investment related experience
• Strong understanding of one of more of the following products: Life Insurance, Mutual Funds and Annuities and/or Broker Dealer/Insurance operations
• Excellent time management skills
• Strong sense of urgency and the ability to quickly respond to changing needs and priorities
• Proficiency in the use of EXCEL and WORD
• Bachelor’s degree or equivalent industry work experience required