Robert Buchanan
Montclair
Summary
Dynamic business advisor with extensive experience in financial services and tax regulations, specializing in targeted analysis and process improvement strategies. Expertise in strategic thinking, project management, and operational execution drives successful outcomes across diverse initiatives. Proven track record of collaborating with stakeholders at all levels to develop and implement effective change strategies, emphasizing compliance, risk management, and audit considerations. Exceptional communication skills and sound judgment ensure the delivery of impactful solutions that align with organizational goals.
Overview
29
29
years of professional experience
1
1
Certification
Work History
Assistant Vice President, Project Manager Tax
Neuberger Berman
07.2025 - 12.2025
- Facilitated collaboration with third-party vendor services to enhance legal entity formation, improving compliance and operational efficiency by 20%.
- Developed and executed FATCA/CRS processes aimed at mitigating control gaps highlighted by risk management and internal audit findings, resulting in a 100% reduction in identified audit and compliance issues.
- Facilitated adherence to regulatory standards by offering expert advice on operational tax filing requirements and managing same day account setup and FATCA/CRS inquiries.
- Executed strategic initiatives to enhance operational workflows and productivity within investment teams focused on financial and investment structures.
Manager, Internal Audit
Prudential Financial, Inc.
03.2018 - 06.2025
- Managed comprehensive internal audits and risk assessments, focusing on compliance with legal, privacy, and customer experience standards to optimize operational practices.
- Initiated and led discussions on audit client issues with management and control partners, ensuring effective communication and collaboration across all engagements.
- Interpreted data trends to inform proactive risk management initiatives and optimize testing approaches.
- Synthesized and communicated key findings to management, enhancing decision-making processes within the organization.
- Executed audit processes for assigned engagements, consistently meeting or exceeding 90-day completion benchmarks.
- Implemented internal auditing practices in strict accordance with IIA international standards.
- Developed and implemented risk assessment frameworks to enhance interdepartmental decision-making processes.
- Led cross-functional teams to enhance operational efficiency and align project objectives with organizational strategy.
- Facilitated collaboration with stakeholders to pinpoint process improvement opportunities that advance strategic initiatives.
Tax Manager, Product Tax Compliance
Prudential Financial, Inc.
02.2007 - 02.2018
- Managed client relationships within asset management and insurance businesses to uphold compliance with evolving legislative and regulatory standards.
- Managed a team of three SMEs, facilitating a 20% increase in compliance and operational efficiency by analyzing and sharing legislative updates with all management tiers.
- Conducted thorough root cause analysis and implemented control enhancements to address payroll and product tax compliance issues.
- Led FATCA/CRS implementation as Project Manager and Tax Lead, ensuring compliance with international tax regulations.
- Developed and executed an implementation framework customized for stakeholders across 26 subsidiaries in 40 countries.
- Directed strategic management of enterprise inventory classification to enhance compliance and operational efficiency. Oversaw registration and maintenance of critical portals to facilitate seamless integration with enterprise systems. Led classification determination processes aligned with organizational compliance objectives.
- Managed comprehensive tax compliance efforts, ensuring alignment with federal and state regulatory requirements.
- Investigated tax legislation implications for clients, providing insights to enhance operational efficiency and business strategy.
- Assessed complex tax situations to provide senior management with actionable insights for effective decision-making.
- Investigated recent tax changes and analyzed their relevance to specific business contexts, providing insights for informed decision-making.
- Advised on operational requirements for complex issues related to transfer pricing, international taxation, and state/local taxes, ensuring adherence to regulatory standards.
- Coordinated audit processes for federal and state income tax and local filings, enhancing accuracy and compliance.
- Evaluated impact of tax law changes on strategic initiatives and recommended adjustments to enhance organizational competitiveness.
- Conducted in-depth training sessions and created instructional materials to inform colleagues about relevant tax developments and compliance requirements.
Senior Mutual Funds Specialist
Prudential Financial, Inc.
05.2004 - 02.2007
- Coordinated efforts to ensure seamless transition to third-party vendor for transfer agency operations.
- Oversaw daily mutual fund transactions, guaranteeing compliance with established regulatory standards and internal operational policies.
Senior Business Analysis Associate
Prudential Financial, Inc.
06.2001 - 04.2004
- Spearheaded internal review and update of 200,000 accounts, enhancing data accuracy and compliance through rigorous analysis and process improvements.
- Directed implementation of web-based tax withholding and reconciliation reporting system to optimize processing time.
- Managed customer inquiries regarding product tax and tax systems, ensuring effective resolution and improved service quality.
Associate Business Systems Analyst
Prudential Financial, Inc.
04.1997 - 06.2001
- Supported migration of 1.4 million accounts from third-party vendor to in-house system, focusing on optimizing data accuracy and compliance standards.
- Managed comprehensive tax reporting processes for 1099-DIV, 1099-B, 1099-R, 1099-MISC, and 1042-S forms, partnering with stakeholders to uphold compliance and accuracy.
- Applied strong analytical skills to streamline tax reporting processes, aiming to reduce processing time by 60% and improve operational efficiency.
Education
Bachelor of Arts - History
Rutgers College, Rutgers University The State University of New Jersey
New Brunswick, NJ05-1996
Certificate - Social Studies
Graduate School of Education, Rutgers University
New Brunswick, NJ05-1996
Business Analysis Certificate -
Middlesex County College
Edison, NJ11-2006
Project Management Certificate -
Middlesex County College
Edison, NJ11-2006
Skills
- Comprehensive audit documentation
- Implementation of business initiatives
- Effective communication
- Collaborative negotiation techniques
- Financial analysis and reporting
- Skilled in Microsoft Office tools
- Prioritization and scheduling
- Collaborative team management
- Analytical decision making
Certification
- SIE - Securities Industry Essentials Examination, 05/01/12, FINRA, CRD#3089675
- Series 6 - Investment Company Products/Variable Contracts Representative Examination, 05/01/12, FINRA, CRD#3089675
- Certified Regulatory and Compliance Professional (CRCP), 11/01/18, FINRA Institute at Georgetown - McDonough School of Business, Georgetown University
Additional Relevant Experience
Prudential Financial, Inc. 2004 - 2007
Senior Mutual Funds Specialist
- Coordinated efforts to ensure seamless transition to third-party vendor for transfer agency operations.
- Oversaw daily mutual fund transactions, guaranteeing compliance with established regulatory standards and internal operational policies.
Prudential Financial, Inc. 2001 - 2004
Senior Business Analysis Associate
· Spearheaded internal review and update of 200,000 accounts, enhancing data accuracy and compliance through rigorous analysis and process improvements.
· Directed implementation of web-based tax withholding and reconciliation reporting system to optimize processing time.
· Managed customer inquiries regarding product tax and tax systems, ensuring effective resolution and improved service quality.
Prudential Financial, Inc. 1997 - 2001
Associate Business Systems Analyst
· Supported migration of 1.4 million accounts from third-party vendor to in-house system, focusing on optimizing data accuracy and compliance standards.
· Managed comprehensive tax reporting processes for 1099-DIV, 1099-B, 1099-R, 1099-MISC, and 1042-S forms, partnering with stakeholders to uphold compliance and accuracy.
· Applied strong analytical skills to streamline tax reporting processes, aiming to reduce processing time by 60% and improve operational efficiency.
Timeline
Assistant Vice President, Project Manager Tax
Neuberger Berman
07.2025 - 12.2025
Manager, Internal Audit
Prudential Financial, Inc.
03.2018 - 06.2025
Tax Manager, Product Tax Compliance
Prudential Financial, Inc.
02.2007 - 02.2018
Senior Mutual Funds Specialist
Prudential Financial, Inc.
05.2004 - 02.2007
Senior Business Analysis Associate
Prudential Financial, Inc.
06.2001 - 04.2004
Associate Business Systems Analyst
Prudential Financial, Inc.
04.1997 - 06.2001
Bachelor of Arts - History
Rutgers College, Rutgers University The State University of New Jersey
Certificate - Social Studies
Graduate School of Education, Rutgers University
Business Analysis Certificate -
Middlesex County College
Project Management Certificate -
Middlesex County College