11 days old

Senior Analyst Regulatory Supervision (Marketing Review Gatekeeper) - REG0007O

Roseland, NJ 07068
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Primary Location United States-New Jersey-Roseland

Senior Analyst Regulatory Supervision (Marketing Review Gatekeeper)

The Sr. Analyst is responsible for supporting the Retirement Marketing team by ensuring all marketing material is ready for formal approval by our Compliance partners, and complies with Prudentials internal policies and procedures, as well as FINRA, State Departments of Insurance, ERISA and Department of Labor regulations. 


The Sr. Analyst is accountable for collaborating with a team of WSG Regulatory Supervision Analysts, as well as across business functions (i.e., product, legal, risk, compliance, sales, etc.) and will be the point of contact between Retirement Strategic Marketing and business Control partners.  Marketing for which this position reviews, includes, but is not limited to: Defined Contribution Plans; Defined Benefit Plans; Nonqualified Deferred Compensation Plans; and In-Plan Guaranteed Retirement Income Solutions. 


Responsibilities include: 

  • Review of all marketing material created within Retirement to ensure it meets company and regulatory standards (i.e., FINRA, State Departments of Insurance, ERISA, DOL, etc.).

  • Ensure that all compliance requirements are proactively communicated and inform business partners of best practices in process & controls.  

  • Escalate issues, as appropriate, and provide periodic updates, trends and recommendations.

  • Provide compliance support and direction on the material review approval process.

  • Support the overall controls and auditing processes for Retirement Marketing

  • Using our workflow tool (Workfront) to effectively and efficiently move projects through to our Compliance partners for formal approval.

  • Develop and maintain monthly metrics for use by Retirement Marketing leadership.

  • Onboard and monitor Retirement Associates use of social media through the Hearsay platform.

  • Manage Prudentials Regulatory Alert system for Retirement Marketing.

  • Manage Global Relay e-mail monitoring for Retirements FINRA registered reps.


  • FINRA 6/26 licenses, or willingness to obtain within 120 days of hire.
  • Bachelors Degree, or equivalent experience, preferred. Functional knowledge of Retirement/Insurance products or Financial Services Industry desired.
  • Proven communication skills (verbal, written, interpersonal) to interact with all levels of management.
  • Ability to reach sound judgments and act quickly under tight deadlines while balancing competing priorities.
  • Proven analytical and project management skills
  • Ability to work and react quickly in a fast-paced, agile environment.
  • Strong ability to collaborate and work across teams/business units without formal authority.
  • Ability to effectively identify, manage and mitigate risks.
  • Creative thinker and problem solver with strong analytical skills.

@!*!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 companys 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. For more information please visit www.prudential.com.

Prudential is not accepting unsolicited resumes from search firms for this open position unless contracted with Staffing. Agencies must work with Staffing as the primary point of contact and follow the Prudential application process to be considered for business. All resumes submitted by search firms to any employee at Prudential via-email Internet or directly to hiring managers in any form without a valid written search agreement in place for that position will be deemed the sole property of Prudential and no fee will be paid in the event the candidate is hired by Prudential.
Note: Any search agreement entered into with Prudential before January 2004 is null and void. Search firms are essential to the recruitment and staffing efforts at Prudential and we value the partnerships we have built with our preferred vendors. Prudential has established and regularly maintains a preferred vendor list and even preferred vendors need to have a written search agreement signed by the Director Recruiting Programs Staffing at Prudential in place for the specific position in order for a fee to be paid for any candidate referrals.
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Posted: 2020-05-15 Expires: 2020-06-18
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Senior Analyst Regulatory Supervision (Marketing Review Gatekeeper) - REG0007O

Roseland, NJ 07068

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