Vice President, RIA Business Operations
Newark , New Jersey
November 21, 2017

You are an experienced Registered Investment Advisor (RIA) leader, you are hands-on and ready to lead 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 COO Advisory Services 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


A little about us:
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