Compliance Manager, Corporate Functions Compliance (Hybrid/Virtual)
About the position
At Prudential, we believe talent is key to achieving our vision. When you join Prudential, you’ll unlock a motivating and impactful career – all while growing your skills and advancing your profession at one of the world’s leading financial services institutions! The Corporate Function Compliance Manager supports Prudential’s Corporate Functions, including GTO, FAC, People Team, LCBE & Corporate Affairs, Audit and Risk Management. This is a challenging and fast-paced environment, which requires experience with executing compliance programs, providing risk based advisory support, and ensuring adherence to applicable laws, regulations, and internal policies. This role serves as a second line compliance partner, translating enterprise compliance requirements into practical guidance for business partners. The position has significant interaction with Business Partners across Corporate Functions and plays a key role in protecting Prudential’s regulatory standing and ethical culture. This role will also require flexibility and support of the Global Financial Crimes, Privacy and Conflicts of Interest teams as needed. What you can expect: Fast-paced environment supporting various business and control partners, advising on compliance risks associated with initiatives, projects, and operational activities. Execute and manage Corporate Function Compliance programs, including but not limited to Personal Conflicts of Interest and Outside Business Activities, Institutional Conflicts of Interest, Gifts & Entertainment monitoring and approvals, Personal Securities Trading reviews, vendor and third party reviews and Responsible Artificial Intelligence business use case reviews. Support the Compliance Risk Management (CRM) activities for the Corporate Functions, including inherent and residual risk assessments, development and execution of testing and monitoring plans and documentation of results, issues, and action plans. Review and monitor regulatory law changes (alerts) applicable to the Corporate Functions and coordinate with business owners to assess applicability, identify control gaps, and document responses. Escalate material compliance risks and issues to Compliance leadership.
Responsibilities
• Executing compliance programs
• Providing risk based advisory support
• Ensuring adherence to applicable laws, regulations, and internal policies
• Translating enterprise compliance requirements into practical guidance for business partners
• Protecting Prudential’s regulatory standing and ethical culture
• Supporting various business and control partners, advising on compliance risks associated with initiatives, projects, and operational activities
• Managing Corporate Function Compliance programs, including but not limited to Personal Conflicts of Interest and Outside Business Activities, Institutional Conflicts of Interest, Gifts & Entertainment monitoring and approvals, Personal Securities Trading reviews, vendor and third party reviews and Responsible Artificial Intelligence business use case reviews
• Supporting the Compliance Risk Management (CRM) activities for the Corporate Functions, including inherent and residual risk assessments, development and execution of testing and monitoring plans and documentation of results, issues, and action plans
• Reviewing and monitoring regulatory law changes (alerts) applicable to the Corporate Functions and coordinate with business owners to assess applicability, identify control gaps, and document responses
• Escalating material compliance risks and issues to Compliance leadership
Requirements
• 5+ years of Compliance, Risk Management, Audit or related control functions within financial services
• Strong data analysis skills with ability to gather and draw actionable conclusions from data
• Experience working with compliance and risk management systems (e.g., Open Pages, Compliance Center, One Trust, STAR)
• Strong knowledge of corporate governance and non financial risk areas, including conflicts of interest, privacy, regulatory change, and employee compliance programs
• Proven ability to manage multiple priorities and work effectively with diverse stakeholders
• Strong interpersonal skills to interface with various business units, Risk, Audit, Law, and Compliance
• Strong process improvement skills
• Able to perform as a team player and independently to help accomplish objectives
• Excellent written and verbal communication skills, organizational skills, and attention to detail
• Comfortable with ambiguity with the dexterity to adjust as needed
• BA or BS Degree a plus
Benefits
• 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.
At Prudential, we believe talent is key to achieving our vision. When you join Prudential, you’ll unlock a motivating and impactful career – all while growing your skills and advancing your profession at one of the world’s leading financial services institutions! The Corporate Function Compliance Manager supports Prudential’s Corporate Functions, including GTO, FAC, People Team, LCBE & Corporate Affairs, Audit and Risk Management. This is a challenging and fast-paced environment, which requires experience with executing compliance programs, providing risk based advisory support, and ensuring adherence to applicable laws, regulations, and internal policies. This role serves as a second line compliance partner, translating enterprise compliance requirements into practical guidance for business partners. The position has significant interaction with Business Partners across Corporate Functions and plays a key role in protecting Prudential’s regulatory standing and ethical culture. This role will also require flexibility and support of the Global Financial Crimes, Privacy and Conflicts of Interest teams as needed. What you can expect: Fast-paced environment supporting various business and control partners, advising on compliance risks associated with initiatives, projects, and operational activities. Execute and manage Corporate Function Compliance programs, including but not limited to Personal Conflicts of Interest and Outside Business Activities, Institutional Conflicts of Interest, Gifts & Entertainment monitoring and approvals, Personal Securities Trading reviews, vendor and third party reviews and Responsible Artificial Intelligence business use case reviews. Support the Compliance Risk Management (CRM) activities for the Corporate Functions, including inherent and residual risk assessments, development and execution of testing and monitoring plans and documentation of results, issues, and action plans. Review and monitor regulatory law changes (alerts) applicable to the Corporate Functions and coordinate with business owners to assess applicability, identify control gaps, and document responses. Escalate material compliance risks and issues to Compliance leadership.
Responsibilities
• Executing compliance programs
• Providing risk based advisory support
• Ensuring adherence to applicable laws, regulations, and internal policies
• Translating enterprise compliance requirements into practical guidance for business partners
• Protecting Prudential’s regulatory standing and ethical culture
• Supporting various business and control partners, advising on compliance risks associated with initiatives, projects, and operational activities
• Managing Corporate Function Compliance programs, including but not limited to Personal Conflicts of Interest and Outside Business Activities, Institutional Conflicts of Interest, Gifts & Entertainment monitoring and approvals, Personal Securities Trading reviews, vendor and third party reviews and Responsible Artificial Intelligence business use case reviews
• Supporting the Compliance Risk Management (CRM) activities for the Corporate Functions, including inherent and residual risk assessments, development and execution of testing and monitoring plans and documentation of results, issues, and action plans
• Reviewing and monitoring regulatory law changes (alerts) applicable to the Corporate Functions and coordinate with business owners to assess applicability, identify control gaps, and document responses
• Escalating material compliance risks and issues to Compliance leadership
Requirements
• 5+ years of Compliance, Risk Management, Audit or related control functions within financial services
• Strong data analysis skills with ability to gather and draw actionable conclusions from data
• Experience working with compliance and risk management systems (e.g., Open Pages, Compliance Center, One Trust, STAR)
• Strong knowledge of corporate governance and non financial risk areas, including conflicts of interest, privacy, regulatory change, and employee compliance programs
• Proven ability to manage multiple priorities and work effectively with diverse stakeholders
• Strong interpersonal skills to interface with various business units, Risk, Audit, Law, and Compliance
• Strong process improvement skills
• Able to perform as a team player and independently to help accomplish objectives
• Excellent written and verbal communication skills, organizational skills, and attention to detail
• Comfortable with ambiguity with the dexterity to adjust as needed
• BA or BS Degree a plus
Benefits
• 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.