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Vice President
Prudential Securities
Newark, NJ, United States
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Description
Corporate Compliance provides centralized compliance programs, utilities and governance for Prudential’s Compliance Program. The organization is comprised of two main areas:
Centralized Global Compliance Programs provides leveraged technology, processes, services and subject matter expertise for Prudential’s centralized compliance activities and programs.
Center Led Global Compliance is the main area responsible for the development, maintenance, standards and governance of frameworks that are implemented in Prudential’s businesses and corporate function compliance programs.
Prudential is currently recruiting a Vice President to lead the Centralized Global Compliance Programs organization.
Working across Prudential, this role is responsible for providing and maintaining the following global centralized Compliance Programs:
• Anti-Money Laundering/Office of Foreign Assets Control
• Anti-Bribery/Anti-Corruption
• Privacy Compliance
• Securities Trade Monitoring
• Employee Compliance including Gifts & Entertainment, Individual Employee Conflicts of Interest, Political Law/Pay-to-Play
• Other centralized programs as identified
The main objective of the role is to lead and oversee reasonably designed control processes and platforms for the above programs, leading teams of subject matter experts. In addition the successful candidate will excel in collaborative leadership in running the centralized Compliance Programs, driving risk-based, business focused and disciplined policies and procedures, surveillance and subject matter expertise in the areas of financial crimes and privacy compliance.
This senior leadership role requires strong competency in strategic vision, collaboration and execution. The position reports to the head of Corporate Compliance who in turn reports to the CECO, the global head of Compliance for Prudential Financial.
The main areas of responsibility include:
• Leadership for Centralized Compliance Programs– This senior level position will have responsibility for Compliance Programs mentioned above, providing strong subject matter knowledge, leadership around operating process discipline and framework, following risk-based prioritization of personnel and activities, talent development, and senior level leadership representation across Prudential.
• Subject Matter Expertise – Provides and develops subject matter expertise particularly related to Financial Crimes and Privacy Compliance. Represents senior leadership expertise in global subject matter across Compliance, Control Functions, Businesses and Enterprise.
• Surveillance Programs– Drives enhancements to compliance risk surveillance including technology enhancements, data analytics, reporting of insights and action planning to mitigate unacceptable risks.
• Global Program Influence – Enhances the global reach of the Programs in all jurisdictions in with Prudential does business and/or has joint venture partnerships.
• Policies and Procedures – Supervises Programs for standardized program documentation, policies and procedures and roles and responsibilities.
• Program Risk Assessments – Conducts compliance and operating risk assessments and evaluation of process and control effectiveness for Programs.
• Testing Programs – Working with Compliance Testing Unit, develops routine testing programs and requirements.
• Subject Matter Employee Learning – Working with Global Compliance Education provides required training for employees on subject matter.
Qualifications
• Privacy compliance and financial crimes subject matter expertise.
• Compliance, Risk Management, Audit, Business Operation and/or related Military, Regulatory Enforcement leadership experience.
• Track record driving strategy development and execution.
• Process and procedure development, implementation and management.
• Experience working with multiple stakeholders with different needs and priorities.
• Skilled influencer in challenging existing process, paradigms and assumptions.
• Business acumen and knowledge in financial services, asset management and/or insurance experience a plus.
• 10+ years of relevant financial services, regulatory enforcement or military experience.
• Experience in Privacy and Financial Crimes subject matter expertise.
• Exceptional people management and talent development competency.
• A strong bias for simplicity.
• Must be highly collaborative, open-minded and able to work with and influence others without having direct authority.
• Proven track record of process re-engineering, simplification and streamlining.
• Comfortable in ambiguity, self-directed and an agent and advocate for change.
• Strong verbal and written communication and presentation skills.
• College, advanced degree or relevant experience in the military.