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Senior Analyst, Regulatory Supervision
Prudential Securities
Iselin, NJ, United States
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Description
Prudential Advisors’ financial professionals bring families and individuals appropriate options in the form of advice and guidance by offering a variety of investment and insurance solutions.
Responsibilities:
• Work closely with Prudential Advisor field producers and field management to review new investment advisory wrap fee accounts suitability and best interest
• Assist with the ongoing monitoring of advisory accounts for various regulatory and firm policy violations and help drive successful resolutions of such violations.
• Conduct outreach calls with clients to determine the clients' understanding of the features and risk associated with their participation in the wrap fee program.
Qualifications
• Bachelor’s degree or equivalent work experience
• Minimum 3 years professional experience in financial services industry
• FINRA Series 7 required – Series 24, 53 and 65/66 preferred
• Strong knowledge of the Investment Advisor’s Act of 1940
• Knowledge and prior experience in supervision of dual registrants investment advisory wrap fee programs.
• Ability to identify, evaluate, and mitigate risk in connection with the firm’s registered investment advisers.
• Strong relationship building and management skills; able to work with and manage relationships with a diverse group of individuals, including producers, home office partners and sales executives.
• Understanding of FINRA, SEC and state regulations
• Knowledge of a wide range of financial services products including Mutual Funds, Equities, Exchange Traded Funds, Fixed Income Securities and Unit Investment Trusts a plus
• Good research, investigative and interpretation skills
• Excellent verbal and written communication skills
• Ability to research and interpret new rules and regulations
• Working knowledge of WealthScape, Envestnet, Protegent Surveillance and ClientLink a plus