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Director Compliance Securities Monitoring

Company name
Prudential Financial, Inc

, NJ


Director, Compliance (Securities Monitoring)','COM00076','!*!Prudential's Compliance Program provides an independent system of monitoring, testing, oversight, and inspections, designed to prevent and detect violations of laws, rules, regulations, and/or policies.

The Securities Monitoring Director, within Corporate Compliance, will support leadership in taking the Securities Monitoring Unit to the next level and enhance and build a strategy that aligns and shares information across compliance and business units. You will help to identify new technology(s) to mitigate the overall risk in this space.  You will deal with highly sensitive information for employees throughout the Company, including the most senior Officers and the Board of Directors. 

The ideal candidate should have prior leadership experience, a superior level of knowledge and experience with the regulatory and compliance issues surrounding personal and portfolio trading activity, and system implementation and project management experience.

Responsibilities include:

Participate in and/or lead large scale initiatives including but not limited to system rationalization, implementation, and request for proposals.

Partner with local business unit Compliance Officers to execute or implement new or revised requirements.

Author policies and procedures that are narrowly defined for a specific target audience or broad-reaching in nature.

Prepare materials for the insurance and retail Mutual Fund Boards.

Support project planning activities including but not limited to drafting and maintaining the project plan, recording decisions and documenting dependencies.

Manage and/or oversee projects

Draft and finalize procedural documents, visual aids and workflows as needed.

Assist with the Personal Securities Trading Policy distribution to domestic and international employees.  This will include testing system enhancements, ensuring applicable employees are appropriately classified in the system, working with Compliance colleagues and business employees to ensure timely receipt of all required attestations. 

Participate in user acceptance and regression testing including but not limited to script-writing, recording test outcomes, logging errors, pursuing closure on open items and retaining all supporting documentation in an organized and readily accessible manner.

Draft business requirements for system enhancements to current internal applications or the potential integration to external systems.  This may include identifying and documenting issues and enhancements, drafting business requirements, user acceptance testing, and assisting with final implementation.

At the discretion of the immediate supervisor, this candidate may supervise domestic or international staff as needed on specific projects or as part of general program support.

Support department audits and exams.

Prepare presentations and conduct training.

Other projects and production work as needed.


Bachelor’s degree or equivalent preferred; Advanced degree a plus.

At least 8 years professional experience with minimum 5 years in a control related function

Five or more years of experience in the intelligence or criminal justice fields within the military.

Anti-fraud experience a plus.

A deep understanding of industry rules and regulations or the Company’s policies and procedures relating to insider trading and personal securities trading is required.    

Exceptional ability to issue-spot, recognize trends and conduct detailed investigative analysis.

Strong interpersonal skills, ability to explain complex policies and procedures to employees at all levels.  Candidate should be discreet, professional and be able to use sound judgment. 

Clear and concise oral and written communication skills.

Ability to work on several high priority assignments simultaneously

Ability to effectively transition between individual contribution and team efforts as needed.

Superior time management skills and attention to detail.

Advanced proficiency in Microsoft applications with a strong emphasis on Microsoft Excel and PowerPoint.

Moderate to advanced proficiency in data mining and data modeling to draw insights and make connections using structured and unstructured data is required.

Highly motivated and have excellent time management and organizational skills. 

Able to work on several high priority assignments simultaneously. ','!*!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, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law. 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.','Compliance','United States-New Jersey-Newark','','Full-time','','Director, Compliance (Securities Monitoring)

Company Profile
For more than 135 years, Prudential Financial, Inc., has helped individual and institutional customers grow and protect their wealth. Today, we are one of the world's largest financial services institutions with operations in the United States, Asia, Europe, and Latin America. We also have one of the most recognized and trusted brand symbols: The Rock ®, an icon of strength, stability, expertise, and innovation. We strive to create long-term value for our stakeholders through strong business fundamentals, consistent with our mission guided by our vision and directed by our company's core values. We are committed to keeping our promises and to doing business the right way.

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