Director, Compliance

Director, Retirement Compliance (Level 8)
 
Prudential Retirement is seeking a Director, Retirement Compliance.  The successful candidate will be responsible for providing compliance support to Mullin TBG, a wholly owned subsidiary of Prudential Retirement.  The candidate will be embedded within the business located in both El Segundo, CA and Newport Beach, CA, focusing on two primary business lines. 
 
The position is responsible for the compliance coordination and monitoring of retirement planning and investment advisory services activity, which focuses on Financial Planning, Advisory Accounts, and Tax Planning / Preparation. 
 
The position is also responsible for compliance coordination and monitoring of the nonqualified executive benefits consulting and administration business, which has a focus on insurance and investment products, primarily Corporate Owned Life Insurance. 
 
The candidate must demonstrate excellent judgment and the ability to work independently in a decentralized environment.    The candidate will require creativity to develop solutions to sensitive compliance and organizational issues for which no current approach may exist.  Excellent oral, written and presentation skills are required. 
 
 
RESPONSIBILITIES WILL INCLUDE:

• Reviewing the effectiveness of current processes, and identifying potential improvements;
• Monitoring and oversight of a Registered Investment Advisor, including regular production in support of  required Compliance tracking
• Monitoring and oversight of activities of highly productive insurance producers;
• Developing testing and monitoring protocols, and reporting on results;
• Referring complex problems to management and partnering in developing appropriate resolution;
• Identifying and analyzing key information from various sources in order to identify trends and concerns, and coordinating with businesses to determine appropriate actions.

 
S/he will report to the Vice President, Compliance.Prudential and its affiliates, Newark, New Jersey are Equal Opportunity/Affirmative Action Employers and are committed to diversity in our workforce.JOB REQUIREMENTS
 
5 to 7 years of Compliance (or other control function) experience at a mid to large size corporation. 
 
Strong communication and interpersonal skills
 
Ability to coordinate complex issues among multiple individuals and organizations
 
Knowledge of investment advisory business
 
Knowledge of advanced insurance markets and product development
 
Ability to work independently (experience in a decentralized environment)   Position reports through Hartford, CT location
 
Some domestic travel to other locations required
 
Experience utilizing business technology