Senior Investment Operations Associate (remote)

  • Prudential Financial
  • Remote * (Hartford, CT, USA)
  • Jan 15, 2022

Job Description

Job Classification:
Investment Management - Investment Operations

Our Business
For over 100 years, Prudential's diverse and talented employees have been
committed to helping customers and their families grow and protect their wealth through a variety of products and services. We are known for delivering on our promises and are recognized as a trusted brand and one of the world's most admired companies.

Retail Operations is a specialized unit within Retirement Full-Service Solutions who provides dedicated customer support and education to our self-directed and Individual IRA account holders (former 401k participants). In this position you will be provided with the opportunity to showcase your customer service skill by handling inbound calls and providing support to Individual Retirement Account holders located across the United States. As a licensed associate you will play an important role in assisting our customers with financial market education, executing stock and mutual fund trades, exchanges, distributions and various account maintenance needs.
The role
Reporting to the Manager- Customer Service, Direct Client Service Team within
Retirement Full-Service Solutions, the Senior Investment Operations Associate is responsible for providing superior service to Retail and Retirement Service
participants. The Client service functions include speaking with and educating our participants and taking ownership of inquiries and resolution.

  • Utilize a variety of systems and tools to promptly respond to inquiries via inbound calls
  • Provide information to callers about various features specific to retirement products and services
  • Accurately process account maintenance, distribution requests or forward to the appropriate parties to complete transactions
  • Process client trading requests within department and regulatory guidelines
  • Collaborate with internal partners to research and resolve client issues
  • Continuously seek to find process improvements to increase overall operations productivity and efficiency

Your Expertise
What you'll need to succeed:

  • Series 7 & 63 Registration required
  • CT Life, Health & Variable Insurance License or ability to obtain within 60 days. Series 24 is a plus but not required
  • Experience in Brokerage/Investment Operations position demonstrating increasing levels of responsibility
  • Demonstrated knowledge of retirement industry and interest in financial markets with the understanding and commitment to conforming with strict compliance and regulatory requirements
  • Superior organization skills, thorough attention to detail and strong follow-through
  • Strong interpersonal, communication skills, team player and acts with a sense of urgency
  • Required hours are Monday through Friday 9:30 A.M. to 5:30 P.M. Eastern Time

It'd be a plus if you have:
• Bachelor's degree
• Call center/trading/production environment experience a plus
• Retirement and investment account processing experience preferred

*Note: Prudential is required by Colorado law to include the salary range for this role when hiring a Colorado resident.

Salary range specific to Colorado: $57,100-77,300 + discretionary incentive bonus + benefits. Eligibility to participate in a discretionary annual incentive program is subject to the rules governing the program, whereby an award, if any, depends on various factors including, without limitation, individual and organizational performance. In addition, employees are eligible for standard benefits package including paid time off, medical, dental and retirement.


Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom.

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, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status , medical condition or any other characteristic protected by law.

The Prudential Insurance Company of America, Newark, NJ and its affiliates.

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.

If you need an accommodation to complete the application process, which may include an assessment, please call , prompt 4 or email accommodation.h&.

Please note that the above number and email are solely for individuals with disabilities requesting an accommodation. If you are experiencing a technical issue with your application or an assessment, please email to request assistance.