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O&C Associate at Prudential

Posted in Finance 30+ days ago.

This job brought to you by eQuest

Type: Full-Time
Location: New Hartford, New York

Job Description:

The Operations and Controls Specialist will provide administrative support in the operations area of a professional sales office.  The Operations and Control Specialist will support the sales office in the areas of: new business, compliance, business quality, financial, new financial professional hires, licensing, technology, report generation, administrative support, special projects, document retention and management, customer support and general office support. 

Responsibilities Include:

  • Supporting the sales office in financial professional and management recruiting,

  • Tracking and monitoring candidates progress through the pre-hire and appointment process

  • Receptionist duties including answering and directing phone calls, and opening, sorting and distributing mail.

  • Providing administrative support to the Managing Director and front line management team

  • Supporting training for the financial professionals, management and other firm staff

  • Tracking relevant industry economic and legal changes

  • Reading relevant industry and financial publications

  • Supporting the sales office to ensure the timely issuance of new business from the underwriting division

  • Supporting the BQP process by collecting appropriate data via FOCUS

  • Processing incoming and outgoing policy transfers

  • Recommending specific action plans to solve problems regarding new business

  • Interfacing with home office staff to expedite process of underwriting

  • Monitoring and tracking mandatory certification process (PLN)

  • Maintaining all financial professional candidate files and selection requirements

  • Paying firm bills through appropriate system


    • Must possess strong organizational and communications skills

    • Must be able to work independently

    • Word and Excel knowledge 

    • Customer service experience

    • Strong work ethic

    • Results oriented

    • Ability to work in a fast-paced environment

    • Ability to adjust priorities to meet changing business needs

    • Ability to work in a team environment

    • Customer Focused - understands the importance of building and maintaining our customer base