18 days old

Director Corporate Counsel - PGIM Investments - PGI000BC

Newark, NJ
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Primary Location United States-New Jersey-Newark (NJ)

PGIM Investments is seeking an experienced attorney to provide legal and regulatory support for the mutual funds, exchange-traded funds, and closed-end funds advised by PGIM Investments.  The attorney will primarily manage the preparation and filing of fund registration statements and other regulatory filings with the Securities and Exchange Commission (SEC), review fund disclosure documents, draft memoranda and perform related tasks.


Specific responsibilities of the job include:

  1. Managing the preparation and filing of fund registration statements on Forms N-1A, N-2, and N-14, as well as other federal securities filings (such as proxy statements and prospectus supplements) and interacting with SEC staff.
  2. Drafting disclosure documents, including revisions to existing prospectus disclosure. Drafting responsibilities will also include preparation of selected agreements, including new advisory agreements, revisions to existing advisory agreements, as well as other types of agreements.
  3. Coordinating review of regulatory filings by internal and external stakeholders, including fund counsel and fund accounting.
  4. Providing legal advice to internal business clients on investment company, investment advisory and regulatory issues in developing new funds and supporting existing funds.
  5. Drafting and preparing Board materials and attending Board meetings, as applicable.
  6. Achieving proficiency in using the RR Donnelley ArcProspectus electronic registration statement platform utilized by PGIM Investments for fund registration statement filings.
  7. Keep abreast of new laws and regulatory developments and assist in the implementation of new regulations.
  8. Negotiate third-party agreements for the funds and/or PGIM Investments.
  9. Assisting in special projects as needed. 



The successful candidate will:

  • Have at least three to five years of experience in a law firm and/or in-house legal department.
  • Have extensive and substantial experience with the Investment Company Act of 1940. Knowledge of ETFs and/or insurance products and their regulatory requirements is helpful but not required.
  • Have a J.D. degree, be admitted to practice law in New Jersey (or must be obtained within 12 months) or obtain the New Jersey In-House Counsel License within 18 months
  • Have strong analytical, drafting and negotiating skills.
  • Be able to work well with people at all levels of the organization, as well as people outside of the organization.


The position requires a candidate who is a self-starter and who can function independently.  Essential competencies include:

  • Excellent judgment and the ability to give clear and timely legal advice that is supportive of business objectives.
  • Conceptual thinking, analytical ability, and creative problem-solving skills.
  • Strong written and oral communication skills.
  • Flexibility and a willingness to adapt to fast-paced, changing needs of the organization and business clients.
  • Strong work ethic, and high professional and ethical standards.
  • Ability to work well in an environment where coordination and teamwork with legal and business associates is a top priority.

@!*!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 companys 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. For more information please visit www.prudential.com.

Prudential is not accepting unsolicited resumes from search firms for this open position unless contracted with Staffing. Agencies must work with Staffing as the primary point of contact and follow the Prudential application process to be considered for business. All resumes submitted by search firms to any employee at Prudential via-email Internet or directly to hiring managers in any form without a valid written search agreement in place for that position will be deemed the sole property of Prudential and no fee will be paid in the event the candidate is hired by Prudential.
Note: Any search agreement entered into with Prudential before January 2004 is null and void. Search firms are essential to the recruitment and staffing efforts at Prudential and we value the partnerships we have built with our preferred vendors. Prudential has established and regularly maintains a preferred vendor list and even preferred vendors need to have a written search agreement signed by the Director Recruiting Programs Staffing at Prudential in place for the specific position in order for a fee to be paid for any candidate referrals.
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Posted: 2020-03-19 Expires: 2020-04-18

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Director Corporate Counsel - PGIM Investments - PGI000BC

Newark, NJ

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