Vice President, Corporate Counsel - PGIM Investments
- Newark, NJ
PGIM Investments is seeking an experienced, proactive business attorney to provide legal and regulatory support for the mutual funds, exchange-traded funds and closed-end funds advised by PGIM Investments. The attorney will also support the mutual funds sold to insurance company separate accounts for variable annuity and variable life products. The attorney will work closely with our business partners on new fund developments, including new product offerings, strategy changes, reorganizations, and subadviser changes.
Specific responsibilities of the job include:
- Managing the preparation and filing of mutual fund registration statements on Forms
N-1A, N-2 and N-14, as well as other federal securities filings (such as proxy statements and prospectus supplements) and interacting with SEC staff.
- Providing legal advice to internal business clients on investment company, investment advisory and regulatory issues in developing new funds and supporting existing funds.
- Drafting and preparing Board materials, attending Board meetings and participating in Board meetings.
- Drafting and preparing registration statements and related documents for registration and regulatory compliance for the funds.
- Keeping abreast of new laws and regulatory developments.
- Providing legal support for responses to regulatory inquiries.
- Reviewing sales literature for the funds; coordinating with Marketing and Compliance Departments to address any comments. Providing legal support for responses to requests-for-proposal and due diligence requests.
- Negotiating third-party agreements for the funds and PGIM Investments.
- Reviewing derivative agreements, including collateral control agreement.
- Assisting in special projects as needed.
The successful candidate will:
- Have at least seven to ten years of experience in a law firm and/or in-house legal department.
- Have extensive and substantial experience with the Investment Company Act of 1940. Knowledge of ETFs and/or insurance products and their regulatory requirements is helpful but not required.
- Have a J.D. degree, be admitted to practice law in New Jersey (or must be obtained within 12 months) or obtain the New Jersey In-House Counsel License within 18 months.
- Have strong analytical, drafting and negotiating skills.
- Be able to work well with people at all levels of the organization, as well as people outside of the organization.
The position requires a candidate who is a self-starter and who can function independently. Essential competencies include:
- Excellent judgment and the ability to give clear and timely legal advice that is supportive of business objectives.
- Conceptual thinking, analytical ability, and creative problem-solving skills.
- Strong written and oral communication skills.
- Flexibility and a willingness to adapt to fast-paced, changing needs of the organization and business clients.
- Strong work ethic, and high professional and ethical standards.
- Ability to work well in an environment where coordination and teamwork with legal and business associates is a top priority.
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