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At 1:45 p.m. on Thursday, June 5, Helene will join a session titled, "Investigations—What Every Chief Compliance Officer Needs to Know." The session, which will be led by E&Y's Corporate Compliance Advisory Services Practice
Leader Jack Holleran, will cover best practices for conducting investigations, with the goal of helping attendees drive continuous improvement in their compliance programs.
Then, at 3:15 p.m., Gurian and Holleran will host a small-group conversation to compare and contrast investigation practices (limited to 24 compliance executives).
 Complete Agenda
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Helene Gurian started with Prudential Financial in July 1997 as a Vice President, Compliance. From 1997 to 2002, she was responsible for the units that handled investigations into sales practice misconduct, agent discipline, field office examinations and Compliance oversight and monitoring. In 2001, she was appointed as the Compliance and Risk Officer for Retail Distribution.
In June 2002, she was named Vice President in charge of the Corporate Investigation Division. The “CID” is responsible for all corporate investigations and oversees the claim fraud investigative work for Prudential’s businesses. In addition, CID has responsibility for Prudential’s anti-money laundering program, Foreign Corrupt Practices Act program, and Prudential’s High Technology Investigation Unit.
In April 2007, Gurian was also appointed as Vice President for Corporate Compliance, which has central responsibility for compliance activities which reach across business functions, including Prudential’s Policies and Principles, compliance training, compliance coverage for all corporate functions, pre-hire/background checks, securities trade monitoring and filings, central marketing review, ERISA and the Privacy Office.
Prior to joining Prudential, from 1990-1997, Gurian was Deputy Commissioner and Chief Counsel to the New York State Commission of Investigation, which has responsibility for monitoring law enforcement activity and systemic fraud and abuse in State Government. From 1990-1994 she served as a member of the Governor’s Criminal Justice Sub-cabinet.
From 1986-1990, Gurian was Deputy Commissioner for the New York City Department of Investigation, where she managed a staff of over 100 attorneys and detectives and investigated corruption in City government.
From 1977-1986, she was an Assistant District Attorney for New York County, where she served in the Trial Division and Rackets Bureau as a Senior Trial Counsel. There, Gurian was responsible for the prosecution of hundreds of cases involving violent crime, and the investigation and prosecution of cases involving organized crime and official corruption.
She graduated with honors from Wellesley College and received her J.D. degree from Brooklyn Law School.
