Senior Associate, Regulatory Supervision

Job Classification:

We are looking for an enthusiastic, motivated individual to join our team.  The successful candidate will be a progressive thinker who learns quickly and is highly driven to create a positive customer experience.  The candidate will be expected to be able to demonstrate proficiency in state insurance licensing and appointments as well as FINRA and/or state securities registrations.  The candidate must possess knowledge of regulatory guidelines to independently qualify Financial Professionals for their role and escalate issues as warranted.

The Licensing, Appointment and Registration Services (LARS) organization provides services to Prudential employees (home office and field associates) and external constituents so that they are properly licensed, appointed and/or registered as needed to facilitate the sale and support of Prudential products and achieve compliance with Company and regulatory requirements.

Responsibilities:

• Review and prompt processing of Form U4 (Uniform Application for Securities Industry Registration) applications to appropriately register Financial Professionals with FINRA and/or state securities commissions (BlueSky registrations) through Prudential's broker dealers.
• Review and prompt processing of Form U5 (Uniform Termination Notice for Securities Industry Regulations)
• Review and processing of customer complaints, judgement/lien of (DRP) Disclosure Reporting Pages  
• Review and Processing of state insurance licensing and appointments
• Work closely with financial professionals and business partners to gather required information and documents
• Analyze and resolve producer, broker dealer qualification deficiencies
• Manage, monitor, and track licensing and registration applications to ensure timely filings. 
• Review, create and modify producer profiles in multiple administration systems
• Act as a liaison between LARS, Law Department, Field Offices, Home Offices and Prudential Advisor Hiring Unit
• Respond timely in inquiry and status requests via email and phone
• Participate in special projects as warranted

The type of individual that can be passionate about this assignment, and will be best positioned to succeed will:

• Have strong time management skills.
• Be resourceful and can fully utilize software programs, the internet, research tools to retrieve and submit information.
• Can be self-directed, comfortable dealing with ambiguity and can be excited about developing the path forward and details on their own.
• Have strong organizational skills and the ability to prioritize tasks to meet deadlines.
• Enjoy the challenge of working in a complicated, ever-changing, and fast-moving environment.
• Be a positive change agent, approaching each task with a ‘can do’ attitude with a goal of motivating and inspiring those around them.
• See conflict as a good thing and know how to surface and manage conflict the right way.
• Have strong organizational skills and be detail oriented.

Qualified candidates will possess the following skills: 

• Experience in an insurance carrier licensing or registration department a plus
• 3 years in a customer service driven industry
• Impeccable organization, time management and problem-solving skills
• Proficient in Microsoft Office applications
• Ability to work with diverse cultures and perspectives to build a collaborative, high performing team
• Proven ability to drive initiatives and effectively meet/exceed goals
• Respects and maintains confidentiality
• Demonstrates a concern for the needs and expectations of customers and makes them a high priority
• Strong critical thinking and analytical skills
• Experience working in a transaction-based environment or other operations environment a plus
• Demonstrated ability to handle complex requests
• Comfortable working independently and as part of a team
• Flexibility to work overtime during periods of peak volumes

*Note: Prudential is required by Colorado law to include the salary range for this role when hiring a Colorado resident.

Salary range specific to Colorado: $52,900.00-$71,600.00 discretionary incentive bonus benefits. 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. In addition, employees are eligible for standard benefits package including paid time off, medical, dental and retirement.

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