Sign In
 [New User? Sign Up]
Mobile Version

Manager, Investment Advisory Supervision


Iselin, NJ
Job Code:
Apply on the Company Site
  • Save Ad
  • Email Friend
  • Print
  • Research Salary

Job Details

Position Title: Manager, Investment Advisory Supervision
Job Code: 408598
Job Location: New Jersey-Iselin

As Manager, Investment Advisory Supervision- Centralized Transaction Review unit 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. 


In this role, the incumbent will be a key contributor and driver of the oversight process for our Investment Advisors. The incumbent will coordinate the delivery of oversight related activities and collaborate with team members and internal business partners in Law, Compliance and Risk Management.


The incumbent utilizes a solid understanding of investments and investment advisory business and a thorough understanding of various software packages, especially databases. The incumbent may manage a small staff.


  • Supervise a team of 4-5 licensed associates, who perform the day to day supervision of investment advisory wrap fee programs.

  • Assist in development and maintenance of training, standard operating procedures, and reporting to support the investment advisory wrap fee programs sponsored by Pruco Securities, LLC.

  • Analyze and deliver reports to Field Management and Sr. Management

  • Partner with internal business partners, as well as Field Management and Financial Advisors on escalated issues

  • Drive day to day tactically in line with the ongoing strategy through participation in projects, providing SME on all matters related to wrap fee programs sales practices and supervision.

  • Partner with Communications on an ongoing communication strategy to Financial Advisors and clients


·         Bachelor’s preferred

·         SERIES 7 & 24 required

·         SERIES  66 (or 63 and 65) required within 180 days

·         Previous work experience with SEC, FINRA or a SEC registered investment advisor required

·         Strong knowledge of the Investment Advisor’s Act of 1940

·         Prior experience with Rule 206(4)7 risk assessments, testing surveillance, supervision, for dual registrants wrap fee programs.

·         Ability to identify, evaluate, and mitigate risk in connection with firm registered investment advisers.

·         Knowledge of FINRA, SEC and state regulations

·         Knowledge of financial services products

·         Good research, investigative and interpretation skills

·         Excellent verbal and written communication skills

·         Ability to research and interpret new rules and regulations

·         Strong attention to detail, data analytics, and project management skills

·         Strong knowledge of MS Office and other relevant computer applications

·         Working knowledge of  WealthScape, Envestnet, Protegent




    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: Operations
    Schedule: Full-time
    Apply on the Company Site
    Powered By

    Featured Jobs[ View All ]

    Featured Employers [ View All ]