Manager, Compliance (Hybrid/Remote) (Finance)

Job Classification:

Corporate - Legal and Compliance

Prudential's Compliance organization is seeking a marketing compliance professional to fill a Manager position on the Marketing Review team, which provides timely reviews of marketing and internal communications for various units within Prudential, compliance support on new digital initiatives, and prepares various key marketing metrics used to monitor and test the first line business marketing activities and compliance risks.

In partnership with other control partners such as Law and Risk, you will provide feedback on new digital initiatives, assess privacy controls, advise on compliance requirements and on controls and procedures for the implementation and on-going functionality of digital tools.  Digital initiatives can include new tools proposed by marketing partners to interact with consumers, new content management systems or requests to use additional functionality for existing software products, communication tools and platforms. You will ensure that the use of digital tools comply with applicable Privacy Standards, Books and Records, SEC and FINRA regulations.

FINRA Registration - Series 6 (or 7) and Series 26 (or 24) is required (or Series 6 and 26 must be obtained within 90 days of hire). Candidates must have at least four years of prior experience in a compliance or control function and experience with the development and implementation of compliance testing protocols.

The successful candidate will have excellent collaboration, interpersonal and negotiating skills including the ability to interact with and positively influence business and compliance leaders, as well as business acumen and a strategic mindset.

Key Responsibilities:

• Review of marketing and internal communications for compliance with various regulatory requirements including state Departments of Insurance (DOIs), FINRA, SEC, FTC and internal Prudential marketing standards. 
• Provide guidance to, and partner with, Global Communications, Brand Marketing and business unit marketing teams to help meet their goals in a compliant manner.
• Support the filing of marketing materials with various DOIs and FINRA and work with business colleagues to address feedback and comments from regulators. 
• Partner with Law and the Global Privacy Office on implementing updates in to achieve compliance with regulations associated with Privacy and the use of data.  This can include obtaining consents to text and email marketing content and the use of data to implement marketing initiatives.
• Assist the social media monitoring team to respond to questions or complaints posted to Prudential's social media sites to help prepare and review responses to these posts.
• Prepare key proofs and reports used to test and monitor marketing compliance KPIs.

Skills and Experience

• Knowledge of reviewing advertising and sales materials, and the attendant rules and regulations, as well as regulations pertaining to the access to, and storage of, marketing data is necessary.
• Must be familiar with various digital marketing platforms such as web-content, digital ads, social media, and email.    
• Familiarity with Privacy Regulations relating to how information can be collected and stored as well as the use of data and how information must be stored or can be transferred. 
• Experience helping to identify root causes and providing actionable steps to improve overall process and improve the speed to market. 
• Due to the cross-functional nature of monitoring and testing, must be able to effectively partner with business unit members and business unit Compliance associates and leading through influence to deliver results.
• A passion for on-going learning of new digital trends, marketing tools and work on challenging business problems with the goal of partnering to transformation the marketing and compliance functions.
• Willingness to lead, design and present forward-thinking focus on strategic compliance and business initiatives.
• Good organizational and problem-solving skills, resourcefulness and attention to detail.
• Ability to organize/prioritize tasks and work in a deadline-oriented environment.
• Ability to multi-task/juggle multiple assignments and meet deadlines.
• Knowledge of PowerBi or Tableau is helpful to deliver and display key data. 

This position can be based out of our Newark, NJ offices but we are also open to remote candidates. Salary range specific to Colorado: $113,400 – $153,400 USD Annual + discretionary incentive bonus + benefits.

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