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Years of Experience
Date Last Verified
ProfileDirector, Corporate Counsel Duties: Provide legal and regulatory advice and counsel to the broker-dealer supporting investment management, retirement and group insurance businesses. Provide legal and regulatory advice and counsel to the broker-dealers supporting life and annuity businesses. Represent and counsel 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
Qualifications: 5+ years legal experience. 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. Experience as broker-dealer counsel, including providing advice regarding FINRA, SEC and state 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. Possess exemplary leadership. Strong analytical, practical problem-solving skills. Clear and concise oral and written communication skills. Strong collaboration skills and the capacity to work independently. Courage and confidence to speak up, challenge and advocate for a point of view. Able to interface with management across multiple businesses confidently and professionally, manage time effectively and provide actionable, solutions-oriented advice to all levels of the business. Self-motivated with strong drive to overcome barriers and achieve results. Exhibit sound 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 Financial, Inc
751 Broad Street
Newark, NJ 07102