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Vice President, Internal Audit
Prudential Securities
Newark, NJ, United States
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Description
This Vice President position within Prudential’s Internal Audit Department is responsible for providing technical expertise on Sales, Marketing and Customer Experience related risks. This is a high-profile position that provides the opportunity for a seasoned professional with experience in the Financial Industry to work closely with technical experts and subject matter. The leader in this role will direct audit teams focused on coverage of all the Prudential businesses, distribution models, and our Broker Dealers. This position requires resourcefulness, objectivity, and good judgment in leading people and projects within absolute budgets and deadline commitments.
Core Responsibilities:
• Gaining an understanding of Sales related risks and the controls established by business management
• Developing, implementing and directing the execution of a comprehensive risk-based audit plan to ensure appropriate coverage of the key Sales related risks across the Company’s domestic and International businesses including how such risks are overseen by the corporate control functions serving as the Company’s second line of defense
• Monitoring issues and trends throughout the year with the goal of contributing to a view on the design and effectiveness of the processes, controls and environment related to sales and customer related risks
• Remaining current with emerging risks and industry views on products, sales practices and marketing techniques
• Maintaining and driving our talent strategy to support the coverage of sales related risks and associates, while enhancing the technical competencies of our audit staff to continue to execute a quality audit program.
Qualifications
In addition to executive level experience in the financial services industry, the successful candidate must possess a high level of executive presence and energy, and be highly collaborative, with the confidence and courage to be a completely independent and objective assessor of Sales, Marketing and Customer Experience related risks and controls across the organization. Other qualifications include:
• A proactive, results driven leader with the ability to operate effectively from the conceptual stage through to successful implementation
• Be innovative in developing testing approaches and data analytics to fully assess risk
• Excellent listening and communication (oral and written) skills to effectively interface with all levels of leadership
• A highly organized and disciplined individual able to effectively develop as well as manage and influence a team of experienced professionals across a complex, global organization
• Superior relationship management skills with the ability to partner and build professional relationships effectively with Audit leaders as well as those across multiple business groups, corporate functions and control organizations.
• Strong leadership skills having the ability to manage people and projects with absolute budgets and deadlines
• Possesses evidence of analytical and technical skills, being highly inquisitive and consistently interested in learning new products, processes, and disciplines
Other relevant qualifications considered, but not required:
• Regulatory review experience in insurance and investment sales and related functions (e.g., compliance, broker-dealer, sales supervision) or with other financial services related regulatory bodies (SEC, FINRA, State Department of Insurance, etc.)
• May hold licenses or designations including among others: Certified Regulatory and Compliance Professional (CRCP), Certified Financial Planner (CFP), Insurance License, Series 6 or 7 license
• Knowledge of risk assessment, control analysis and auditing/testing techniques
This position is based in Newark, New Jersey; however, some travel to corporate business and sales offices is required.