Manager Compliance - Personal Securities Trading

Profile

Manager Compliance - Personal Securities Trading

Duties: Lead onshore teams and provide subject matter expertise for offshore teams. Support department audits and exams. Oversee all day-to-day operations which consist of reviewing compliance reports, managing the preclearance approval process, researching post trade transactions and monitoring trading exception reports. Conduct surveillance activities relative to trading company stock. Develop a full understanding of the securities monitoring process especially as it relates to monitoring classifications, which may overlap. Identify opportunities to make process improvements. Manage, oversee, or participate in large-scale initiatives including system rationalizations, implementations, and request for proposals. Partner with local business unit Compliance Officers to execute or implement new or revised initiatives. Author/revise policies and procedures that are narrowly defined for a specific target audience or broad-reaching in nature. Support project planning activities including but not limited to drafting and maintaining the project plan, recording decisions and documenting dependencies. Draft and finalize procedural documents, visual aids and workflows as needed. Participate in or oversee user acceptance and regression testing including but not limited to script-writing, recording test outcomes, logging errors, pursuing closure on open items and retaining all supporting documentation in an organized and readily accessible manner. Project manage the annual Personal Securities Trading Policy distribution to all domestic and international employees. This includes testing of the distribution process, assuring all monitored employees are properly classified in the monitoring system, and working with business unit Compliance Officers to ensure timely receipt of all required attestations. Assist and help lead all aspects of the implementation of a cloud-based personal trading application. Support the reporting of personal trading policy violations. Monitor and enforce system access, privacy and information technology security protocols relative to personal and confidential data stored within the personal trading application/system. Monitor and update internal and external electronic feeds. Train and cross train new hires and other team members as needed. Act as compliance representative to liaise with other Compliance and Technology contacts across the organization and external to the company. Explain policies and procedures to associates throughout the company.

Additional Information

Ref. #: R-105780

Company info

Prudential Financial, Inc
600 Highway 169 South Suite 1000
Minneapolis
Minnesota
United States 55426
Website : http://www.prudential.com