Vice President, Corporate Counsel

Prudential Financial   •  

Hartford, CT

Industry: Accounting, Finance & Insurance

  •  

8 - 10 years

Posted 45 days ago

About the position

Prudential is looking for an experienced attorney with retail broker-dealer, securities and insurance experience. This attorney will work on a wide range of matters including legal issues impacting investment management, retirement, group insurance, annuities and life insurance distribution and regulatory issues. This position reports to the Chief Legal Officer of Prudential Investment Management LLC, and Prudential Annuity Distributors, Inc., each a registered FINRA broker-dealer, and ILI Distribution.

Among this attorney’s responsibilities will be the provision of counsel to management across multiple businesses.

The position will be based in Newark, NJ or Hartford, Ct.

Primary Duties and Responsibilities:

  • Providing legal and regulatory advice and counsel to the broker-dealer supporting Prudential’s investment management, retirement and group insurance businesses.
  • Providing legal and regulatory advice and counsel to the broker-dealers supporting Prudential’s life and annuity businesses.
  • Representing and counseling Prudential’s insurers and broker-dealers with respect to federal and state regulatory matters as well as FINRA.
  • Working closely with Business Unit Law Departments as well as Compliance and Risk Management Departments to provide legal analysis and counsel in connection with the sales, supervision and distribution of mutual funds, registered insurance products and securities as well as non-securities products and business initiatives.
  • Keeping management and other personnel up to date on pertinent legal, regulatory and industry developments.
  • Drafting and Negotiation of selling agreements and other distribution agreements and providing advice to Prudential businesses regarding such agreements
  • Perform other assignments and projects, as assigned.

Qualifications

· Candidate will have a minimum of 8 to 15 plus years legal experience.

· Candidate will have experience as broker-dealer/insurance distribution counsel, including providing advice regarding FINRA, SEC and state insurance securities laws and regulations.

· Demonstrated knowledge of the operations of retail broker-dealers and insurance companies.

· Knowledge of the distribution and regulation of insurance and securities products.

· Exposure to the following areas will also be helpful: corporate governance, advertising, AML, and privacy laws.

Candidate must have exemplary leadership, analytical, practical problem solving

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.