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Years of Experience
Date Last Verified
ProfileDirector, Corporate Counsel The candidate will provide legal and regulatory advice and counsel to the broker-dealer supporting Prudential’s investment management, retirement and group insurance businesses. Will provide legal and regulatory advice and counsel to the broker-dealers supporting Prudential’s life and annuity businesses. Represent and counsel Prudential’s insurers and broker-dealers with respect to federal and state regulatory matters as well as FINRA. Work closely with Business Unit Law Departments, as well as Compliance and Risk Management Departments to provide legal analysis and counsel relating to the sales, supervision and distribution of mutual funds, registered insurance products and securities as well as business initiatives. Keep management and other personnel up to date on pertinent legal, regulatory and industry developments. Draft and negotiate selling agreements and other distribution.
Qualification and Experience
The candidate must have 5 years of legal experience. Should have 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. Must have experience as broker-dealer counsel, including providing advice regarding FINRA, SEC and state rules. Demonstrated knowledge of the operations of retail broker-dealers is required. Must have 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 is required.
655 Broad St
Newark, NJ 07102