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Vice President, Compliance - Assurance at 001 Prudential Ins Co of America

Posted in General Business 30+ days ago.

This job brought to you by eQuest

Type: Full-Time
Location: Seattle, Washington

Job Description:

Assurance IQ is seeking a Vice President, Compliance to join our growing compliance team.  Assurance is dedicated to helping connect consumers with financial solutions, including life, health, and personal finance.  Sales of our products include employee agents, independent agents, and relationships with third party distributors.  This role will primarily be responsible for leading the development and enhancements to compliance policies and procedures (including marketing material guidance, call monitoring and agent oversight standards), associated training and testing, day to day consultation for management on regulatory requirements, and oversight of sales practices and positioning of assigned product lines, which may include Medicare Advantage, health, life, auto & home, and personal finance. 

To accomplish these responsibilities in a growing company, this role will be expected to develop a scalable, risk based compliance program in assigned areas by leveraging technology and data analytics; process discipline; external consultants and resources; an enterprise approach (including people, process, and systems at Prudential); and prioritization and rigor. 

Additional responsibilities may be assigned.


  • Strong knowledge and experience with insurance and/or CMS regulatory requirements required

  • 8+ years in a senior level position managing compliance or related areas in financial services distribution

  • Demonstrable results in improving operational efficiency/effectiveness through process improvements, technology deployment and other mechanisms

  • Experience working and collaborating across organizational boundaries

  • Excellent communication skills

  • Bachelors degree required

Personal Attributes

As a member of the Compliance team, a successful candidate must:

  • Understand the importance and value of collaboration to achieve objectives

  • Develop strong and productive working relationships

  • Be motivated to deliver on results and meet commitments

  • Effectively set objectives and balance competing priorities

  • Be organized and disciplined

  • Demonstrate openness to new ideas and seek opportunities to learn

  • Maintain professional skepticism in assessing appropriateness, objectivity and independence

  • Understand key business risks, marketplace and regulatory environment

  • Establish themselves as credible voice at the table

  • Lead organizational transformation in areas of effectiveness and improvement

  • Think beyond a problem on its face

  • Be comfortable with ambiguity and has the dexterity to adjust as needed

  • Understand the complexities and nuances of a global environment

  • Seek to understand customer’s needs and challenges

  • Collaborate in a fully inclusive and open manner


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&

Please note that the above number and email are solely for individuals with disabilities requesting an accommodation.  If you are experiencing a technical issue with your application or an assessment, please email to request assistance.