Job Description:

Job Classification:

Finance & Accounting - Finance & Accounting

Summary of the Department:

The Prudential Annuities Distributors, Inc. (PAD) Broker-Dealer Management team is responsible for the oversight and support of PAD, an SEC registered broker-dealer and FINRA member, as a principal underwriter of Prudential variable annuities, as a retail broker-dealer to clients of Registered Investment Advisors, and as a wholesale distributor for both annuity and life insurance products offered through traditional key financial institutions, IMOs, BGAs, and Outsourced Insurance Desks (OIDs).   

The role of the Broker-Dealer Operations Manager is to assist with oversight and support of the operations of PAD.  The fulfillment of the BD Manager's obligations will contribute toward regulatory risk mitigation and overall compliance of the broker-dealer.

Responsibilities:

• Support the assessment of regulatory requirements, Compliance policies and procedures, related broker-dealer operations and processes, and subsequently, help drive enhancements to business processes and procedures.


• Issue-spot potential challenges and partner with the COO and other colleagues to develop and implement solutions that are driven by knowledge of applicable securities and insurance laws, rules, and regulations, as well as PAD and Prudential policies.


• Develop relationships and engage with PAD control partners in Law, Compliance and Risk; Sales and Distribution teams, including Supervisory Principals within those teams; Sales & Service Operations and, colleagues at other Prudential broker-dealers to execute on various strategic initiatives.

Success Behavior:

• Work both independently and as part of a team while managing multiple tasks simultaneously under tight deadlines in a dynamic environment.


• Exhibit strong relationship management skills.


• Understand key business risks in the marketplace and regulatory environment.


• Collaborate in a fully inclusive and open manner while helping drive results.

Qualifications:

• Series 6 / 7 & SIE required; Series 24 / 26 or ability to obtain within 90 days of hire.


• Knowledge of the insurance affiliated retail or wholesaler broker-dealer model.


• Familiarity with the OID (a.k.a. broker of record desk) and RIA marketplaces a plus.


• Minimum of 3 years of broker-dealer sales practice oversight, or compliance experience.


• Working knowledge of laws, rules, and regulations impacting retail and wholesale broker-dealers, including SEC regulations, FINRA rules and state insurance / securities laws.


• Strong project management skills; from design to implementation.


• Strong risk assessment and mitigation skills.


• Excellent verbal and written communication skills.


• Self-motivated with strong drive for results.

Employee Work Arrangement:

• This role is hybrid, reporting to Newark, NJ for important meetings and sprints.

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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 www.prudential.com 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 staffingagencies@prudential.com for more information about doing business with Prudential.

PEOPLE WITH DISABILITIES:

If you need an accommodation to complete the application process, which may include an assessment, please email accommodations.hw@prudential.com.

Please note that the above email is solely for individuals with disabilities requesting an accommodation.  If you are experiencing a technical issue with your application or an assessment, please email careers.technicalsupport@prudential.com to request assistance.

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