Position Title: Vice President, Corporate Counsel
Job Code: 400178
Job Location: New Jersey-Newark
Prudential is looking for an experienced attorney with retail broker-dealer and investment advisory experience to fill a high profile opening. This attorney will bethe Chief Legal Officer of Pruco Securities, Inc., and a registered FINRA broker-dealer and investment advisor. This dynamic individual will occupy a leadership role and will be responsible for handling a full range of legal matters that arise in connection with the operation of the retail broker-dealer firm.
Among this attorney’s responsibilities will bethe provision of counsel tothe business’ senior management across multiple businesses. Additionally, the successful candidate will provide guidance and management of issues related to Prudential’s other broker-dealers. The position will be based in Newark.
Primary Duties and Responsibilities:
Providing legal and regulatory advice and counsel to retail broker-dealer business.
Providing legal and regulatory advice and counsel to this firm and other broker-dealers within Prudential.
Representing and counseling insurers andbroker-dealers before Federal and State Regulators, and Self-Regulatory Organizations.
Coordinating with Compliance and Risk Management Departments to providelegal analysis and counsel inconnection with the sales, supervision and distribution of registered insurance products and securities.
Keeping managementand other personnel up to date on pertinent legal, regulatory and industry developments.
Perform other assignments and projects, as assigned.
Candidate will have a minimum of 12 years legal experience.
Candidate will have experience as broker-dealer counsel, including providing advice regarding FINRA and state suitability rules
Demonstrated knowledge of the operations of retail broker-dealers.
Knowledge of the distribution and regulation of insurance and securities products.
Exposure to the following areas will also be helpful: corporate governance, insurance and securities law, advertising, and privacy laws.
Candidate must have exemplary leadership, analytical, practical problem solving, oral and written communication skills, as well as the capacity to work independently.
Candidate must have a JD degree from an accredited law school, be admitted to practice law in at least one state, and New Jersey In-House Counsel License, as applicable, within the required time.
Candidate must be able to interface with senior management across multiple businesses confidently and professionally and manage time effectively.
To succeed in this position, the candidate should possess the following attributes:
- Self-starter, proactive
- Self-motivated with strong drive to overcome barriers and achieve results
- Provide solutions based advice
- Flexibility to adapt to rapidly changing needs of the organization and/or business clients
- Maintain the highest ethical standards
- Intelligent risk taking – excellent judgment and the ability to comfortably make clear, rational and timely decisions in the best interests of Prudential consistent with available facts and applicable laws and regulations
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 www.prudential.com 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 firstname.lastname@example.org
for more information about doing business with Prudential.
Job Function: Insurance Law