Registered Investment Adviser / Broker Dealer Operations Specialist

About the position

Are you an experienced, hands-on Registered Investment Adviser / Broker Dealer Operations professional who is ready to contribute to help build a best in class operational infrastructure? Are you someone that has experience maintaining operational efficiency and developing proper internal controls to meet changing business needs?

Do you want to work in a startup environment inside a company with tremendous history, significant operating cash flow, and earnings? Do you recognize the importance of a strong organizational culture and can motivate a fast-paced, results-oriented team that is technology enabled?

If so, we may have an exciting new opportunity for you at Prudential!

The Customer Office at Prudential is a team that merges the entrepreneurial spirit of a start-up with the stability of one of the world's most established financial services companies to deliver best in class experiences to our customers. It’s an exciting and engaging environment with an agile mindset where team-members are encouraged to expand their skills, test creative boundaries, share new ideas, and, most importantly, have fun.

Our fast-paced organization is seeking a dynamic and resourceful brokerage Operations professional who will be responsible to ensure that our processes and procedures are operating as designed, and who can help improve processes and identify enhancements. This opportunity includes helping to build a working infrastructure and culture, and joining a team focused on financial transaction review and process compliance. This person will also partner with numerous internal leaders to generate ideas to enhance the program over time, and increasing the effectiveness of the oversight program. This individual will report to the Vice President, Advisory Operations within the Customer Office.

Responsibilities include:

·            Perform daily financial account reconciliation for trading, average price, sundry, and other firm house accounts, and promptly research and reconcile identified discrepancies

             Process all trade corrections and associated recordkeeping and billing

·            Reconcile all client and firm managed account fee billing

·            Collaborate with third party service providers to ensure exceptional customer experience and optimal performance.

·            Perform periodic review of financial and business processes and procedures to ensure compliance with written guidelines. Prepare and maintain detailed documentation evidencing review

·            Partner with internal Prudential units to support client requests

·            Participate in departmental projects and initiatives that may cross business and site lines. Initiatives will include, but are not limited to, process and testing changes, procedure and development changes, training, and system change requests.

·            Support start-up activities at all levels of the team that will perform Home Office oversight

Qualifications Proven experience in internal house account financial transaction review and reconciliation, including trading, average price, and sundry accounts

At least 2 years’ experience in a Registered Investment Adviser or Broker Dealer operations environment, with prior experience in reconciliation of account activity and managed account fees, and general securities operations

Prior experience performing transaction and process monitoring and validating results against written procedures

Knowledge of Envestnet systems, policies, and procedures a plus

Strong verbal and written communication skills with the ability to present training topics and relevant information to staff members and leaders

Exceptional Customer focus and service skills.

Intermediate to advanced technical skills including solid knowledge of Microsoft Office applications (Word, Excel, Power point, Visio). Proven ability to adapt to new technologies and applications.

Experience with Apex Clearing systems and procedures a plus

Creativity, initiative, and the ability to deliver results in a fast-paced, changing environment.

Flexibility to adopt to changing priorities and business needs.

Takes ownership of problems and demonstrates a sense of urgency with resolving problems/issues.

Ability to work independently, prioritize effectively and handle multiple tasks.

Highly motivated individual who demonstrates a “can-do” attitude.

Proven experience meeting department/team/individual goals and objectives.

Bachelor degree or equivalent work experience preferred.

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.

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