As Director, Investment Advisor Supervision of Centralized Transaction Review within Prudential Advisors, the incumbent is responsible for enhancing and maintaining the risk assessment framework, operating procedures, management reporting and continual review of the Investment Advisory Oversight program.
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The incumbent utilizes a solid understanding of investments and investment advisory business and a thorough understanding of various software packages, especially databases. The incumbent will manage a small staff.
Supervise a team of licensed associates, who perform the day to day operational functions of investment advisory oversight
Assist in development and maintenance of training and standard operating procedures supporting the investment advisory business
Analyze and deliver reports to Sr. Management on business
Partner with internal business partners, as well as Field Management and Financial Advisors on escalated issues
Drive ongoing strategy through participation in Steering Committees, providing SME on all matters related to this business, representing CTR’s interests
Partner with Communications on an ongoing communication strategy to Financial Advisors and clients
Qualifications
Bachelor’s degree required
Series 7, 24, 53 and 66 required, or need to be obtained within 120 days of hire
5+ years of relevant experience, with background in investment advisory business
Strong knowledge of the Investment Company Act and Investment Advisor’s Act of 1940
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