Manager, Regulatory Supervision
- Recruiter
- Prudential
- Location
- Newark
- Posted
- 15 Oct 2018
- Closes
- 20 Oct 2018
- Job role
- Accountant
- Sector
- Accounting - Public practice
- Experience level
- Manager
Job Description - Manager, Regulatory Supervision (OPS0003O)
Job Description
Manager, Regulatory Supervision-OPS0003O
Description
The Prudential Advisors, Corporate Operations and Control organization is seeking a highly motivated individual to assist in the execution of various control functions regarding the application of compliance policies and procedures, SEC and FINRA regulations and all applicable laws and regulations to the daily situations that might create significant risk of regulatory liability. The primary responsibilities include educating and informing Financial Professionals/Supervisory Principals of the compliance supervisory aspects of their respo ...