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Director - Registered Investment Advisory Operations


Newark, NJ
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Job Details

Position Title: Director - Registered Investment Advisory Operations
Job Code: 451738
Job Location: New Jersey-Newark


You are an experienced Registered Investment Advisor (RIA) leader, you are hands-on and ready to manage home office operational activities for an investment advisor servicing retail affluent and mass affluent customers. You will be responsible for creating and maintaining processes that achieve a high level of operational efficiency while maintaining proper internal controls to meet the changing business needs. You are a growth oriented person and can scale a small team that can grow quickly over time. You feel confident establishing connectivity across multiple geographical locations in the firm.


You have a focused work ethic, can deliver on impactful outcomes, and have a proven track record in leading teams to operate efficiently and nimbly.  You will establish well controlled processes that positively impact customer experiences through the foundation of effective business operations.


You will help shape, direct and execute the business vision and be challenged to blend customer-centric principles and regulatory complexity. You will report to Prudential’s Vice President – RIA Business Operations and work in an exciting and engaging environment. You will be encouraged to expand skills, scale as we grow, share new ideas, and, most importantly, have fun.


Key Job Functions

•Create and maintain guidelines and supervisory system to proactively monitor the RIA’s

◦Account opening and funding process

◦Trading and Recon

◦Customer information protection

◦Best ex and other RIA obligations

◦Termination of accounts

◦Performance and customer contact procedures

•Manage end to end procedures, supervision and desk implementation of the above and work closely with training to ensure multi-functional role out

•Work with RIA legal and compliance on all day to day issues as well as those requiring client notification and possible remediation

•Work with marketing and product teams on effective coordination of campaigns, pricing, promotions, etc.

•Work with finance to ensure end to end fees determination, collection and revenue booking

•Manage customer complaints

•Develop and publish all supervisory and operational procedures

•Coordinate with Compliance on ADV filings and notifications



•Minimum Bachelor’s Degree, Master’s/Advanced Degree – Preferred

•Series 66 (or series 63 & 65) license required

•At least 5 years in a RIA or in a securities/investment operations role with experience managing account operations in a Retail IA strongly preferred

•In-depth working knowledge of Envestnet systems, policies, and procedures.

•Experience with reconciliation of bank and securities house accounts

•Ability to prioritize, handle and juggle different requirements in a fast-paced environment

•Prior managed account experience is mandatory. Strong familiarity with RIA practices, and procedures critical to success

•Performs a variety of tasks including leading projects and directing the work of others

•Familiarity with technology and systems required to achieve efficiency; prior experience with Apex Clearing systems a plus

•Ability to work with individuals at all levels of the organization

•Extreme attention to detail



Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America. Leveraging its heritage of life insurance and asset management expertise, Prudential is focused on helping individual and institutional customers grow and protect their wealth. The company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset management, and real estate services.

We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit to learn more about our values, our history and our brand.

Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law.

Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at for more information about doing business with Prudential.
Job Function: Other
Schedule: Full-time
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