1+ months

Vice President, Digital & Marketing Compliance (Remote/Virtual) - CUS000A9

Roseland, NJ 07068
  • Job Code
Primary Location United States-New Jersey-Roseland
Travel:Yes, 10 % of the Time

Prudentials Compliance organization is seeking an experienced marketing compliance professional to fill a Vice President, Digital & Marketing Compliance position. This executive will manage the Compliance program supporting the Companys marketing and digital marketing initiatives. The successful candidate will be responsible for the compliance program, lead a marketing review team, and will leverage and collaborate with Prudentials Chief Marketing Office, corporate counsel, and key business stakeholders.


This role requires a cross-business customer centric view into Prudentials business units and digital and other marketing initiatives. The right person will have broad knowledge in financial services and digital marketing regulatory frameworks, technology, and business operations.  The incumbent should have a fundamental understanding of ways to leverage technology to optimize compliance related marketing controls and activities.  An ability to communicate with all partner groups will be a key aspect of success in this role.


You will get to work in an exciting, engaging and agile startup environment where you will be encouraged to expand your skills, test your creative boundaries and share new ideas.


Key Responsibilities:

The incumbent will effectively implement and manage a compliance program for the Companys marketing initiatives, with a strong on digital capabilities, that is effective in monitoring and approving marketing and advertising in compliance with the various laws and regulations impacting this activity.

Lead a team of marketing reviewers supporting multiple business units with various financial services, insurance and security products.

Responsible for implementing and maintaining compliance monitoring, updating policies and procedures, reporting, testing, and applying regulatory guidance as well as industry best practices.

Monitor the effectiveness of established compliance processes and controls; recommend and implement enhancements

Promote, protect and set the tone to reflect the Companys reputation for ethics, integrity and honesty in all dealings

Communicate regulatory requirements and assist business units in maintaining a control environment that mitigates compliance risk

Collaborate across Compliance, Law and Operational Risk Management teams to synthesize and communicate a comprehensive view of marketing compliance risk to business management

Escalate compliance concerns timely and effectively to business line management and to the CCOs. 

Liaise with regulators, auditors and business unit management regarding regulatory exams and inquiries.

Provide compliance support for new product initiatives.

Integrate benchmarking and best practices through ongoing research, education and industry analysis

Coordinate with other Compliance teams as necessary


Five plus years of digital marketing or other related experience.

Thorough and current regulatory knowledge and understanding of marketing, including digital marketing compliance issues and consumer compliance regulations. 

Expertise and extensive knowledge of digital financial service businesses and platforms, including corresponding regulations and operations with the ability to oversee and advise on the development and maintenance of strong advice targeted at mitigating compliance risk associated with digital and other marketing activities

Strong understanding of digital financial services channels, including mobile and online technologies.  The ability to break down complex regulatory requirements into easily understood concepts and succinctly communicate this to various business partners.

Knowledge of regulatory framework applicable to securities, investment advisory platforms (such as roboadvisors), mutual funds, and/or brokerage accounts. Knowledge of annuities or online sales of life insurance is a plus.

Familiarity with digital concepts, tools and solutions used by financial services companies. 

Experience with developing, implementing Compliance programs, including policies and procedures, controls, monitoring and testing.

Understanding of customer transactions and communication, operational work flows, internet technologies, as well as development methodology for a complex multi-business environment

Ability to work and react quickly in a fast-paced, agile environment

Proven communication skills (verbal, written, interpersonal) to interact with all levels of management

Relationship management and experience with direct leadership of teams

Strong research skills. Ability to interpret rules and analyze complex issues

Ability to reach sound judgments and act quickly under tight deadlines while balancing competing priorities

Creative and strategic approach to problem solving and change management

Proven analytical and project management skills

Bachelor's degree required. Advanced degree is a plus 

FINRA Series 7 and 24 licenses required or ability to obtain within120 days  days of hire.


@!*!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 companys 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. For more information please visit www.prudential.com.

Prudential is not accepting unsolicited resumes from search firms for this open position unless contracted with Staffing. Agencies must work with Staffing as the primary point of contact and follow the Prudential application process to be considered for business. All resumes submitted by search firms to any employee at Prudential via-email Internet or directly to hiring managers in any form without a valid written search agreement in place for that position will be deemed the sole property of Prudential and no fee will be paid in the event the candidate is hired by Prudential.
Note: Any search agreement entered into with Prudential before January 2004 is null and void. Search firms are essential to the recruitment and staffing efforts at Prudential and we value the partnerships we have built with our preferred vendors. Prudential has established and regularly maintains a preferred vendor list and even preferred vendors need to have a written search agreement signed by the Director Recruiting Programs Staffing at Prudential in place for the specific position in order for a fee to be paid for any candidate referrals.
Job Posting:@false


Posted: 2020-09-18 Expires: 2020-10-29

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Vice President, Digital & Marketing Compliance (Remote/Virtual) - CUS000A9

Roseland, NJ 07068

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