The successful candidate will be responsible for investigating compliance or sales conduct related allegations involving agents and brokers appointed to sell Prudential products and matters of fraud involving Prudential products. In addition, the candidate will be responsible for handling broader investigations relating to fraud, conflict of interest, privacy and other matters relating to improper conduct involving employees, third party entities and vendors. Candidate should be able to work under limited supervision, collect and analyze pertinent information and documents, conduct interviews, and prepare accurate and concise written reports of the investigative results for senior management in a timely manner. The candidate should be cognizant of emerging technologies, the role they play in fraud investigations and the ability to detect and discern them. Must have the ability to effectively apply technology to assist with information gathering and analysis and to assist with risk identification and assessments. The investigator has responsibility for uncovering and evaluating obscure schemes and cause and effect relationships. He/she should have a working knowledge of financial products and the financial services industry and the ability to work on many product related investigations. Could also be called upon to provide evidence and court testimony in cases where law enforcement agencies pursue prosecution or in employment or securities arbitration hearings.
A minimum of 5 years investigative experience in regulatory compliance or law enforcement.
A working knowledge of financial products and services, the financial services industry, and regulatory compliance experience is preferred.
Strong organizational skills required with the ability to multi-task, work independently and as part of a team in a time sensitive environment.
Strong investigative, analytic and negotiation skills.
Strong communication skills, both written and verbal, including the ability to write clear and concise investigative reports for senior management
Ability to think independently.
Ability to work with limited supervision and manage multiple projects and deadlines.
Able to operate standard Microsoft Office software applications, including Windows, Word and Excel.
College degree preferred, advanced degree a plus.
Bilingual (Spanish/English) a plus
Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America. Leveraging its heritage of life insurance and asset management expertise, Prudential is focused on helping individual and institutional customers grow and protect their wealth. The company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset management, and real estate services.
We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit www.prudential.com to learn more about our values, our history and our brand.
Prudential and its affiliates, Newark, New Jersey are Equal Opportunity/Affirmative Action Employers and are committed to diversity in our workforce.
Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at firstname.lastname@example.org for more information about doing business with Prudential.
United States-New Jersey-Newark
Prudential - 14 months ago
For more than 135 years, Prudential has addressed financial challenges for its individual and institutional customers. Today, with...