Director, Compliance

As a member of the Corporate Compliance Organization, responsible for independently conducting assigned responsibilities within their section of the overall compliance function. Specific responsibilities vary and may include reviewing institutional or retail customer account activity, sales practices, documents and marketing material, and customers statements to ensure compliance with various regulatory and legal requirements. Prepares documentation on compliance problems. Develops responses to customer and operational complaints. In many functions, senior staff are responsible for advising line managers on compliance requirements, establishment of procedures and staff training. Individuals are fully knowledgeable of their areas of expertise and are capable of executing completing a range of complex tasks and analysis. Identifies and resolves problems in a timely fashion following established guidelines. Refers most complex problems to management for resolution. Provides direction and training to more junior staff. For use in the Corporate Compliance organization only.

  • Bachelor’s degree preferred
  • Minimum 5 years’ retail investment adviser experience
  • Solid knowledge of fee-based managed products, advisory-related services, and Investment Adviser’s Act regulatory requirements. Working knowledge of broker-dealer operations and regulatory requirements.
  • Series 65 preferred or ability to obtain within 6 months of hire
  • Strong developer of talent and strategic thinker with experience leading small teams of experienced professionals.
  • Excellent collaboration, interpersonal and negotiating skills including the ability to interact with proven ability to manage up and across, and positively influence business leaders
  • Self-motivated with strong drive for results

Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom.

Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America. Leveraging its heritage of life insurance and asset management expertise, Prudential is focused on helping individual and institutional customers grow and protect their wealth. The company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset management, and real estate services.

We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit to learn more about our values, our history and our brand.

Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status , medical condition or any other characteristic protected by law.

The Prudential Insurance Company of America, Newark, NJ and its affiliates.

Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at for more information about doing business with Prudential.

If you need an accommodation to complete the application process, which may include an assessment, please call (800) 433-8960, prompt 4 or email accommodation.h&

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Newark, New Jersey, United States of America; New York, NY; Greater New York City Area; New Jersey; Boston, MA; Washington D.C., DC; Baltimore, MD