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Legal - Newark (NJ), NJ | BL00010--FL-Virtual Office, FL | BL00005--CA-Virtual Office, CA | BL00025--MN-Virtual Office, MN | BL00007--CT-Virtual Office, CT | BL00045--TX-Virtual Office, TX | BL00004--AZ-Virtual Office, AZ | BL00029--NC-Virtual Office, NC | BL00015--IL-Virtual Office, ILVice President, Corporate Counsel, Retail Advice and Solutions

About the position

Prudential’s Law, Compliance, Business, Ethics (LCBE) division has an exciting opportunity and is seeking a Vice President, Corporate Counsel to work with our Prudential Advisor’s 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.

Qualifications

  • 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 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.

We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit www.prudential.com to learn more about our values, our history and our brand.

Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law.

Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at staffingagencies@prudential.com for more information about doing business with Prudential.

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