The Law Department at Prudential provides legal advice and services to all company business groups and corporate functions. We are adding an attorney with retail broker-dealer, securities and insurance experience to work on a wide range of matters including legal issues impacting investment management, retirement, group insurance, annuities and life insurance distribution and regulatory issues. This position reports to the Chief Legal Officer of Prudential Investment Management LLC, and Prudential Annuity Distributors, Inc., each a registered FINRA broker-dealer.
Primary Duties and Responsibilities:
Provide legal and regulatory advice and counsel to the broker-dealer supporting Prudential’s investment management, retirement and group insurance businesses
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
Qualifications
Minimum of 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
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