1+ months

Vice President, Corporate Counsel, Retail Advice and Solutions - DIS000CE

Newark, NJ
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Primary Location United States-New Jersey-Newark (NJ)
Travel:Yes, 25 % of the Time

Prudentials Law, Compliance, Business, Ethics (LCBE) division has an exciting opportunity and is seeking a Vice President, Corporate Counsel to work with our Prudential Advisors Retail Advice and Solutions team; an organization with end-to-end accountability for delivering holistic financial advice and solutions across the entire advice continuum.


Primary Duties and Responsibilities:

  • Providing thought leadership and support as a key member of the distribution legal team
  • Address full range of issues related to investment advisory business
  • Providing strategic advice to the business on new initiatives
  • Interacting with senior business leaders
  • Providing legal and regulatory advice and counsel to the retail broker-dealer with a concentration on investments, variable annuities, and insurance
  • Representing and counseling insurers and broker-dealers before Federal and State Regulators, and Self-Regulatory Organizations
  • Coordinating with Compliance and Risk Management Departments to provide legal analysis and counsel in connection with the sale and distribution of financial services products
  • Keeping senior management and other personnel informed on pertinent legal and regulatory developments
  • Perform special projects as assigned
  • Some travel is required


This position can be worked from a remote/virtual location.


  • JD degree required from an accredited law school and be admitted to practice law in their state of residence
  • 7 years of investment advisory, insurance and securities law experience
  • Exceptional working knowledge of investment advisory products, laws and regulations, FINRA rules, insurance laws governing broker-dealers as well as life insurance and/or variable annuities.
  • Ability to accurately assess legal and regulatory risks
  • Exemplary analytical, practical problem solving, oral and written communication skills
  • Capacity to be a self-starter, team player and able to work independently
  • Detail-oriented and able to develop and implement new or enhanced processes for increasing the efficiency of regular responsibilities
  • Strong public speaking skills
  • Excellent judgment and the ability to make clear, rational and timely decisions in the best interest of Prudential consistent with available facts and applicable laws and regulations
  • Ability to thrive in an environment where coordination and teamwork is a priority and the ability to interact well with senior business executives
  • Flexibility and a willingness to adapt to changing needs of the organization and/or business clients

@!*!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: 2020-09-02 Expires: 2020-10-31
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Vice President, Corporate Counsel, Retail Advice and Solutions - DIS000CE

Newark, NJ

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