Sharon S.

Experience

• 

  Prudential Financial

  Jan 2004 - Dec 2018

  Dedicated Business Unit Compliance Officer for the Transfer Agent (TA) and Mutual Fund Administration (Fund Admin) operational units to the PGIM Investments (PI) mutual fund family.• Created compliance oversight programs and monitoring procedures for the key activities of the TA and Fund Admin to reasonably prevent and detect violations of federal securities laws and Company policies based on federal and state regulations, risk assessments, and testing of process controls and policy adherence. • Assessed and documented the key controls of business unit risks during the annual review of the Compliance Risk Assessments for both PI and the TA. Presented findings in a formal presentation to PI’s CCO and PI executive management, detailing changes made to that year's assessment, gaps in monitoring or procedures, and identifying trends year over year.• Led the oversight of Rule 38a-1 and Rule 206 (4)-7 compliance program testing. Met with PI's CCO and executive management of the TA, Fund Admin, and PI's affiliated broker-dealer, to discuss the results of the testing, and document and monitor the completion of any findings and/or best practice recommendations.• Supported PI's CCO in responding to regulatory inquires and exams by the SEC, FINRA and other state and federal agencies with regards to adviser and broker-dealer businesses, by producing requested documentation and drafting responses to inquiries.• Partnered closely with all levels of employees within the TA and Fund Admin to ensure their procedures were in compliance with Board adopted fund policies, exemptive orders, and applicable federal and state regulations and accurately reflected the activities being performed. Show less Reviewed and approved marketing materials created by PI, ensuring materials adhered to the content standards of applicable federal and state regulatory agencies.• Worked closely with technology group to develop a more efficient process flow in the receipt, review, approval, and return of marketing material between the business and Compliance throughout the enterprise, which led to the creation and use of a new enterprise-wide advertising review system. • Developed and administered training of new process flow to senior management and all associates involved in the creation, review and approval, and distribution of marketing pieces.• Provided compliance guidance to PI business clients regarding policy and procedural changes within the regulatory environment concerning marketing materials.• Trained and developed new associates joining the Compliance MR department who demonstrated little or no compliance content standards knowledge into competent advertising reviewers, cementing consistency and coaching on most efficient workflow. • Processed over 350 marketing pieces per month within a two-day turnaround, below the four-day standard.Prior roles include: Project Marketing Manager - Investments, Associate Manager - Compliance Analyst, Team Lead - Policyowner Relations Show less

  • Director, Compliance

    Jan 2010 - Dec 2018

  • Manager, Compliance

    Jan 2004 - Dec 2009
• 

  Bank of America

  Jul 2019 - now

  Director; Compliance and Operational Risk Manager