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 successful candidate will be responsible for handling broader investigations relating to fraud, conflict of interest, ethics, privacy and other matters relating to improper conduct involving employees, third party entities and vendors. This candidate will personally conduct highly sensitive, complex, and confidential investigations into the matters mentioned above. Under the supervision of a Director of Investigations the candidate will assist with the management of an investigative staff, including assisting with the planning, scheduling, quality control and day-to-day activities of the assigned cases to ensure quality and consistency in service delivery. Along with the Director of Investigations the successful candidate will act as a technical and investigative resource, and will have the ability to recommend appropriate investigative steps to the staff. The successful candidate is able to work independently, collecting and analyzing pertinent information and documents, conducting interviews, and preparing accurate and concise written reports of the investigative results for senior management in a timely manner and with minor editing. The candidate should be cognizant of emerging technologies, the role they play in fraud investigations and the ability to detect and discern them. The candidate must have the ability to effectively apply technology to assist with information gathering and analysis and to assist with risk identification and assessments. The senior investigator has responsibility for independently 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 both conduct and assist with the management of many product related investigations. He/she must have the ability to develop and maintain strong working relationships with members of the business units within the Enterprise. The successful candidate 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.
Qualifications
The preferred candidate would have the following:
*A minimum of 7 years investigative experience in law enforcement or regulatory compliance. *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. *The ability to assist with the oversight of investigations and to serve as a mentor to the investigative staff *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 independently and manage multiple projects and deadlines. *Able to operate standard Microsoft Office software applications, including Windows, Word and Excel. *College degree required. *Some travel required. *Bilingual (Spanish/English) a plus
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