Analyst, Regulatory Supervision (Virtual)

Job Classification:

Corporate - Legal and Compliance

We are seeking a detail-oriented Analyst to support both suitability review and sales oversight functions related to fixed annuity business submitted through IMOs and advisors. This role will split time between reviewing annuity applications to ensure they meet regulatory and company suitability standards, and analyzing sales trends to identify patterns, outliers, and potential risks. The ideal candidate will bring strong analytical skills, and a working knowledge of annuity products and distribution channels.

The current EWA for this position is Fully Virtual. While this position does not require your on-site presence on a regular basis, depending on business preferences, there may be occasions where you are required to be on-site at a Prudential office.

What you can expect:

• Frequently partner with external investment advisor contacts and partnerships with strategic relationship managers and risk groups.
• Vet proposed transactions, considering internal guidelines as well as outside regulatory requirements to mitigate risk.
• Implement compliance oversight procedures, with limited supervision in exception situations.
• Identifies problems, advising and assisting management in the resolution of matter.
• Monitor annuity sales data from IMOs to identify trends, outliers, and potential risks across products, producers, and demographics.
• Collaborate with Compliance and Sales teams to assess IMO business practices, focusing on suitability, disclosure, and adherence to company and regulatory standards.
• Create formal reports, memos, and presentations summarizing oversight activities, observations, and recommendations for management or regulatory audits.

What you’ll need:

• Be an Individual Contributor that demonstrates tenacious commitment to delivering a superior customer experience
• Intrigued by technology/ process and proactively identify opportunities that enhance and add value to those within each process
• Strong verbal and written communication skills with a solid understanding of conflict and problem resolution required
• Proven ability to build and further effective relationships
• Able to work effectively with colleagues across multiple offices / virtually
• Strong organization skills with the ability to successfully multitask, lead change and receive detailed performance feedback
• Strong attention to detail and problem resolution skills
• Stay current on NAIC model regulations, SEC/FINRA guidance, and state-level oversight practices affecting annuity distribution.
• Series 6 FINRA Registration required
• Annuities experience for 5+ years preferred.
• Bachelor’s degree or equivalent experience

It’d be a plus if you had:

• Series 26 FINRA Registration

#LI-MG1

What we offer you:

Prudential is required by state specific laws to include the salary range for this role when hiring a resident in applicable locations. The salary range for this role is from $83,500.00 to $129,500.00. Specific pricing for the role may vary within the above range based on many factors including geographic location, candidate experience, and skills.

• Market competitive base salaries, with a yearly bonus potential at every level. 

• Medical, dental, vision, life insurance, disability insurance, Paid Time Off (PTO), and leave of absences, such as parental and military leave. 

• 401(k) plan with company match (up to 4%). 

• Company-funded pension plan. 

• Wellness Programs including up to $1,600 a year for reimbursement of items purchased to support personal wellbeing needs. 

• Work/Life Resources to help support topics such as parenting, housing, senior care, finances, pets, legal matters, education, emotional and mental health, and career development.  

• Education Benefit to help finance traditional college enrollment toward obtaining an approved degree and many accredited certificate programs.  

• Employee Stock Purchase Plan: Shares can be purchased at 85% of the lower of two prices (Beginning or End of the purchase period), after one year of service. 

Eligibility to participate in a discretionary annual incentive program is subject to the rules governing the program, whereby an award, if any, depends on various factors including, without limitation, individual and organizational performance. To find out more about our Total Rewards package, visit Work Life Balance | Prudential Careers. Some of the above benefits may not apply to part-time employees scheduled to work less than 20 hours per week.  

Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom. 

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. 

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

 

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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