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Jacqueline Bauer Email & Phone Number
Compliance Manager @ Prudential Financial | Series 6 and 26, Regulatory Affairs
at
Prudential Financial
1 work email found
@newyorklife.com
LinkedIn matched
✓ Verified July 2026
4 data sources
Profile completeness 100%
Current company
Role
Compliance Manager @ Prudential Financial | Series 6 and 26, Regulatory Affairs
Location
New York City Metropolitan Area, United States
Company size
Who is Jacqueline Bauer? Overview
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Quick answer
Jacqueline Bauer is listed as Compliance Manager @ Prudential Financial | Series 6 and 26, Regulatory Affairs at Prudential Financial, a with 28358 employees, based in New York City Metropolitan Area, United States. AeroLeads shows a work email signal at newyorklife.com and a matched LinkedIn profile for Jacqueline Bauer.
Jacqueline Bauer previously worked as Manager, Compliance at Prudential Financial and Senior Compliance Associate at New York Life Insurance Company. Jacqueline Bauer holds Bachelor’S Degree, History And International Public Policy from Susquehanna University.
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Email format at Prudential Financial
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{first}_{last}@newyorklife.com
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Profile bio
About Jacqueline Bauer
As a Compliance Manager at Prudential Financial, I oversee the compliance functions of the Group Insurance Business Unit, which provides insurance solutions to employers and associations. I ensure that our products and services comply with the relevant regulations and standards, such as ERISA, HIPAA, and state laws.I evaluate new regulations, test written supervisory procedures, maintain standard operating procedures, develop policies and procedures, oversee the compilation of regulatory reports, and provide compliance training to business unit personnel. I also collaborate with internal and external stakeholders, such as legal, risk, audit, and regulators, to address any compliance issues or inquiries. I have a Bachelor's Degree in History and International Public Policy from Susquehanna University, where I graduated with honors and was a member of the Alpha Lambda Delta Honor Society. I also hold the FINRA Series 6 and 26 licenses, which qualify me as a registered representative and a principal. I have over five years of experience in the financial services industry, previously working as a Senior Compliance Associate and a Compliance Associate at New York Life Insurance Company. There, I reviewed sales materials for agents and registered representatives, ensuring that they comply with FINRA and other regulatory rules and regulations. I have strong skills in Microsoft Word, Microsoft Excel, communication, and advertising review. I am passionate about compliance and regulatory issues, and I strive to deliver high-quality and timely results for the company and its clients. I enjoy working in a dynamic and collaborative environment, where I can contribute to the growth and success of the business. I am always eager to learn new skills and expand my knowledge in the field.
Listed skills include Microsoft Office, Leadership, Powerpoint, Social Media, and 24 others.
Current workplace
Jacqueline Bauer's current company
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Prudential Financial
7 roles
Jacqueline Bauer work experience
A career timeline built from the work history available for this profile.
Manager, Compliance
CurrentAs a Manager in the Corporate Compliance Organization, I responsible for supervising the compliance functions of Group Insurance business unit. This is including but not limited to: evaluation of new regulations, testing of WSPs, maintenance of SOPs and WSPs, developing of policies and procedures, oversight of the compilation of regulatory reports, and compliance training to business unit personnel.
Sep 2022 - Present
Senior Compliance Associate
As a senior associate in the Sales Material Review Unit, I review agent and registered representative pieces to ensure that they comply with FINRA and other regulatory rules and regulations. This includes the daily review of long-term care sales material, internal training pieces, agent pieces, websites, domain names and alias emails. In this respect, I often work closely with the agents in order to get materials approved or aid in making these pieces compliant.
Sep 2020 - Aug 2022
Compliance Associate
May 2018 - Sep 2020
Student Assistant
In these roles, I supported professors with their research, translated handwritten historical records, and offered a student perspective on class activities. In the Development Office, I manage and update 15,000+ Alumni, Parents, and Donors records. I also coordinate, support, and staff major university alumni and donor events.
Sep 2015 - May 2018
Corporate Complainace Separate Accounts Intern
During my second summer at New York Life, I was fortunate to remain in the general area of compliance, but within the separate accounts unit. I tested for the effectiveness of service centers for Q1 and Q2 of 2017. These tests applied to a variety of products including full surrenders, 1035 exchanges, and additional premiums. I updated the suitability grid to ensure all areas were following current product guidelines while simultaneously updating a log of product changes in all service area.
Jun 2017 - Aug 2017
Corporate Compliance Sales Material Review Unit Intern
During my 10 week experience, I completed a compliance website clean up project to ensure all of New York Life's agents were in compliance with FINRA and other regulatory laws. I reviewed, suggested edits, and updated the Sales Material Review Unit Handbook under the guidance of my manager. Moreover, I was given the opportunity to organize meetings regarding the re-organization of the compliance office.
Jun 2016 - Aug 2016
Team & coworkers
Colleagues at Prudential Financial
Other employees you can reach at prudential.com. View company contacts for 28358 employees →
NG
Nikole Gipson
Colleague at Prudential FinancialSan Jose, California, United States
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Francine Trimble
Colleague at Prudential FinancialAvon, Ohio, United States
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AL
Ade Lufti
Colleague at Prudential FinancialJakarta, Indonesia
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YW
Yuya Watanabe
Colleague at Prudential FinancialChiba, Japan
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TM
Tracey Murray, Aa
Colleague at Prudential FinancialGlenside, Pennsylvania, United States
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TO
Tom O'Rourke
Colleague at Prudential FinancialLos Angeles, California, United States
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Saleh (Sal) Mohamed
Colleague at Prudential FinancialBrooklyn, New York, United States
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RR
Roman Rubio
Colleague at Prudential FinancialEl Paso, Texas, United States
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MM
Marichu Mate
Colleague at Prudential FinancialGreater Phoenix Area, United States
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MN
Md Noushad
Colleague at Prudential FinancialLudhiana, Punjab, India
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Nikole Gipson
Colleague at Prudential FinancialSan Jose, California, United States
View →
FT
Francine Trimble
Colleague at Prudential FinancialAvon, Ohio, United States
View →
AL
Ade Lufti
Colleague at Prudential FinancialJakarta, Indonesia
View →
YW
Yuya Watanabe
Colleague at Prudential FinancialChiba, Japan
View →
TM
Tracey Murray, Aa
Colleague at Prudential FinancialGlenside, Pennsylvania, United States
View →
TO
Tom O'Rourke
Colleague at Prudential FinancialLos Angeles, California, United States
View →
S(
Saleh (Sal) Mohamed
Colleague at Prudential FinancialBrooklyn, New York, United States
View →
RR
Roman Rubio
Colleague at Prudential FinancialEl Paso, Texas, United States
View →
MM
Marichu Mate
Colleague at Prudential FinancialGreater Phoenix Area, United States
View →
MN
Md Noushad
Colleague at Prudential FinancialLudhiana, Punjab, India
View →
1 education record
Jacqueline Bauer education
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Susquehanna University
FAQ
Frequently asked questions about Jacqueline Bauer
Quick answers generated from the profile data available on this page.
What company does Jacqueline Bauer work for?
Jacqueline Bauer works for Prudential Financial.
What is Jacqueline Bauer's role at Prudential Financial?
Jacqueline Bauer is listed as Compliance Manager @ Prudential Financial | Series 6 and 26, Regulatory Affairs at Prudential Financial.
What is Jacqueline Bauer's email address?
AeroLeads has found 1 work email signal at @newyorklife.com for Jacqueline Bauer at Prudential Financial.
Where is Jacqueline Bauer based?
Jacqueline Bauer is based in New York City Metropolitan Area, United States while working with Prudential Financial.
What companies has Jacqueline Bauer worked for?
Jacqueline Bauer has worked for Prudential Financial, New York Life Insurance Company, and Susquehanna Unviersity.
Who are Jacqueline Bauer's colleagues at Prudential Financial?
Jacqueline Bauer's colleagues at Prudential Financial include Nikole Gipson, Francine Trimble, Ade Lufti, Yuya Watanabe, and Tracey Murray, Aa.
How can I contact Jacqueline Bauer?
You can use AeroLeads to view verified contact signals for Jacqueline Bauer at Prudential Financial, including work email, phone, and LinkedIn data when available.
What schools did Jacqueline Bauer attend?
Jacqueline Bauer holds Bachelor’S Degree, History And International Public Policy from Susquehanna University.
What skills is Jacqueline Bauer known for?
Jacqueline Bauer is listed with skills including Microsoft Office, Leadership, Powerpoint, Social Media, Public Speaking, Teamwork, Management, and Communication.
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