Vice President, Corporate Counsel, Retail Investment Advice (R-101221)
Job Classification:Corporate - Legal and Compliance
Law, Compliance, Business Ethics and External Affairs (LCBE) is a corporate partner with a dynamic, collaborative and diverse professionals. We provide expertise in legal matters, regulatory monitoring, ethics, government affairs and public policy, as well as investigations related to Prudential and its various businesses. Our collective efforts ensure that Prudential’s products, services and operating practices adhere to relevant laws and regulations, as well as to company policies and business standards. Although Prudential has a rich history of more than 140 years, we’re still a modern organization that is customer and collaboration focused. Each day our work is bringing the breadth and depth of Prudential’s collective capabilities closer to our customers.
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
- 5-7 or more years of significant and substantive legal experience retail broker dealer/investment advisor lawyer with a law firm or an investment management organization.
- Expert knowledge and experience of law and regulation (U.S. and non-U.S.) and documentation governing retail broker dealer/investment advisory.
- Sophisticated legal knowledge and experience of broker-dealer regulatory acts including the Investment Advisers Act of 1940 and U.S. securities laws.
- Extensive knowledge of SEC and FINRA regulations
*Note: Prudential is required by Colorado law to include the salary range for this role when hiring a Colorado resident.
Salary range specific to Colorado: $198,300.00 - $268,600.00 USD Annual + discretionary incentive bonus + benefits. Eligibility to participate in a discretionary annual incentive program is subject to the rules governing the program, whereby an award, if any, depends on various factors including, without limitation, individual and organizational performance. In addition, employees are eligible for standard benefits package including paid time off, medical, dental and retirement.-
Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom.
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 [Register to View] 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, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status , medical condition or any other characteristic protected by law.
The Prudential Insurance Company of America, Newark, NJ and its affiliates.
Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at [Register to View] .
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