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Hot Jobs - November 2015

Position: Assistant General Counsel – Consumer Regulatory
Company:  Capital One
Location: McLean, VA, Richmond, VA, or Plano, TX

Description: The Role: Capital One is seeking an experienced regulatory attorney to support its businesses.  The attorney in this position will be responsible for providing advice and assistance on consumer regulations and the regulatory process as it impacts Capital One’s businesses.  While the successful candidate will not necessarily have in-depth experience with each of these products areas, he/she will have at least 6 years of experience in most of these areas and a working understanding of the remaining areas.  The attorney taking this position will be expected to be experienced in the laws and regulations that affect these areas and to be able to provide analytical and balanced legal assistance and judgment right away on an independent basis to both to business and control function personnel.

The regulatory attorney will provide support in particular for Capital One’s fair lending and CRA compliance program and activities.  He/she will provide legal and regulatory advisory support on these topics to Compliance and other control functions and assist with different supervisory examinations.  In addition to these topics, he/she will provide legal support on Bankruptcy, Payments, and other consumer legal matters from time to time as appropriate.  The regulatory attorney will be able to analyze federal and state legislative and regulatory changes that impact Capital One’s businesses, as appropriate meet with senior regulators to comment on pending rules and seek guidance on interpretations of existing rules and work with various trade associations, and guide the businesses on implementing new legal requirements.   

Responsibilities:

This position will report to the Senior Associate General Counsel, Regulatory Advisory and will:

  • Advise and influence executives and other associates regarding the impact of proposed and new legislation/regulations to Capital One’s Fair Lending Program.
  • Provide general legal advice and guidance to the business in the evaluation and prevention of legal exposure for the organization.
  • Serve as the subject matter expert on laws and regulations that impact the company, including in the areas of Payments, Bankruptcy, Fair Lending, and HMDA.

Qualifications:

Basic Qualifications:

  • Juris Doctorate
  • Minimum of 6 years experience
  • This is a position that requires legal analysis, sophistication and judgment.  The successful attorney must have excellent oral and written communication skills, superb people skills, the ability to learn new areas of law quickly as they come into being, an ability to anticipate and meet the needs of a demanding and sophisticated client group, and the flexibility to juggle a wide range of assignments simultaneously.  For the right candidate, this position will provide an extraordinarily satisfying professional challenge.

Preferred Qualifications:

  • 6 - 10 years law firm and/or in-house counsel experience at a law firm, bank, or regulator
  • In-depth understanding of the key statutes, regulations and interpretations governing Capital One, including ECOA, FHA, CRA and HMDA
  • Experience advising on Adverse Action, Regulation B, Bankruptcy laws and Payment regulations
  • Expert understanding of the federal and state fair lending laws
  • Ability to build collegial and effective relationships with business clients, attorneys, project managers, and corporate compliance professionals
  • Ability to prioritize and manage a significant volume of legal questions on a broad array of topics with multiple and simultaneous deadlines
  • Ability to rapidly synthesize new information and make quick, well-grounded decisions
  • Strong oral communication skills with the ability to influence others
  • Strong legal writing skills

Contact:  https://capitalone.taleo.net/careersection/usx/jobdetail.ftl?lang=en&job=791112

 

Position: VP & Chief Legal Officer, Group Insurance - GRO0008K
Company: Prudential-Legal
Location: Roseland, NJ

Description: Primary Duties and Responsibilities include leading, directing, and having full management accountability for a team of approximately 11 colleagues (lawyers, paralegals and administrative support), with an emphasis on talent development, succession planning, organizational alignment, and performance management in accordance with corporate strategic direction; partnering with the Group Insurance senior leadership team to help execute the business strategy; leading and overseeing legal strategy and regulatory matters for the Group Insurance business, collaborating with senior leaders, other areas of the Prudential law department, and outside counsel to deliver proactive, strategic and timely legal solutions and support; and navigating regulatory change by providing proactive and timely analysis of proposed and existing laws and regulations to senior management.

Qualifications:

http://jobs.prudential.com/location/Roseland-NJ/VPChiefLegalOfficerGroupInsurance/GRO0008K

Contact: http://jobs.prudential.com/location/Roseland-NJ/VPChiefLegalOfficerGroupInsurance/GRO0008K

 

Position: VP, Chief Legal Officer, Individual Life Insurance - INS0003D
Company: Prudential-Legal
Location: Newark, NJ

Description: Prudential is seeking a dynamic and experienced attorney to lead the Individual Life Insurance Law Department, and oversee and manage the legal affairs and strategy of the business. In this highly visible role, the Chief Legal Officer will be a member of the Individual Life Insurance senior leadership team, and will engage with senior executives, including the President of the business, key business leaders, regulators and other key stakeholders.  The position will be based in Newark, New Jersey.  Some primary duties and responsibilities will include: leads, directs and has full management accountability for a team of approximately 30 colleagues (lawyers, paralegals and administrative support), with an emphasis on talent management, succession planning, organizational alignment, and performance management in accordance with corporate strategic direction, leads and oversees legal strategy and regulatory matters for the Individual Life Insurance business and collaborates with senior leaders, other areas of the Prudential law department, and outside counsel to deliver proactive, strategic and timely legal solutions and support.

Qualifications:  http://jobs.prudential.com/location/Newark-NJ/VicePresidentChiefLegalOfficerIndividual/INS0003D

Contact:  http://jobs.prudential.com/location/Newark-NJ/VicePresidentChiefLegalOfficerIndividual/INS0003D

 

Position: VP, Corporate Counsel - PRE000CC
Company: Prudential-Legal
Location: Newark, NJ

Description: This attorney will fill a newly created position located in the Madison and New York offices, reporting to the Chief Counsel for the Americas, as the principal internal counsel supporting the fund formation and investment management activities of the portfolio management teams based in its U.S. and Latin American offices.  In this capacity, the attorney will: serve as lead internal counsel on the structuring, marketing and establishment of new funds and other new real estate investment products, serve as lead internal counsel on day-to-day fund management and governance, provide legal support on the structuring, negotiation and establishment of joint ventures that form part of the funds investment strategies, and provide legal support in relation to the ongoing management and governance of the business unit in relation to the parent company.

Qualifications: http://jobs.prudential.com/location/Madison-NJ/VicePresidentCorporateCounsel/PRE000CC

Contact: http://jobs.prudential.com/location/Madison-NJ/VicePresidentCorporateCounsel/PRE000CC

 

Position: VP, Corporate Counsel - QUA0003Y
Company: Prudential-Legal
Location: Newark, NJ

Description: Quantitative Management Associates LLC (QMA) is looking for an experienced attorney to support its public equity investment management business.  Job responsibilities will include: negotiating and drafting investment management agreements; drafting and reviewing investment guidelines; reviewing and assisting in the preparation of institutional marketing materials and responses to requests-for-proposals; assisting in the preparation of fund documentation; and providing advice with respect to various regulatory and operational issues.  This attorney will join a team of three attorneys supporting QMA.  Qualifications include at least 7 years of experience with a law firm and/or an investment management organization and significant legal experience in the areas of asset management and securities transactions.

Qualifications: http://jobs.prudential.com/location/Newark-NJ/VicePresidentCorporateCounsel/QUA0003Y

Contact: http://jobs.prudential.com/location/Newark-NJ/VicePresidentCorporateCounsel/QUA0003Y

 

Position: VP, Corporate Counsel - RET0009W
Company: Prudential-Legal
Location: Newark, NJ

Description: Retirement Law is seeking an additional attorney to become a member of the Pension Risk Transfer team who can provide focused, technically sound and pragmatic legal support in connection with Prudentials high-visibility funded and longevity-only risk transfer transactions. Generally, the skills required include supporting, from inception to post-closing, complex transactions in a way that works for Prudential from both an operational and regulatory perspective. Experience with mergers and acquisitions, reinsurance transactions, and/or corporate finance, as well as with insurance regulation, would be valuable. The candidate must have an appetite for learning new legal disciplines, and the legal and business talent to deploy new knowledge areas to evolving and innovative transactions with accuracy and efficiency. Quickly gaining working knowledge of ERISA and of insurance regulatory requirements is critical to job success. Equally critical is an ability to constructively engage with plan customers in order to shape a solution that works for them and for Prudential, and to be able to capture the solution in writing. Given the size, velocity, importance, complexity and transactional nature of pension risk transfers, team members need to be able to work under tight deadlines and be available at times for intense work efforts during business hours, evenings, weekends and other non-business days. Team members can also expect to quickly develop strong working relationships with key PRT business leaders, and to regularly interact with some of the top US law firms. When not engaging in transactional work, team members support PRT with developing innovative new products, and with respect to enterprise-wide corporate initiatives.

Qualifications: http://jobs.prudential.com/location/Newark-NJ/VicePresidentCorporateCounsel/RET0009W

Contact: http://jobs.prudential.com/location/Newark-NJ/VicePresidentCorporateCounsel/RET0009W

 

Position: VP, Corporate Counsel - US 0000R
Company: Prudential-Legal
Location: Newark, NJ

Description: Prudential seeks an attorney to fill a vacancy in the US Businesses Regulatory Law Section of the Law Department ("USBRL"). USBRL functions somewhat like a law firm for Prudentials US Businesses and their lawyers and compliance officers, addressing a variety of legal and regulatory issues affecting multiple businesses (Individual Insurance, Group Insurance, Asset Management, Retirement and Annuities). Laws we advise on include the Dodd-Frank Act; federal and state securities, broker-dealer and investment management laws; federal commodities and derivatives laws; insurance laws; and political law matters campaign finance, pay-to-play, lobbying, government ethics, and political action committee matters. We also participate in industry trade associations; monitor, analyze and participate in commenting on regulatory initiatives of agencies such as the SEC, MSRB, FINRA, CFTC, NFA and DOL; and provide impact analysis and coordinate working groups to address new regulatory developments. In addition USBRL provides support to Corporate Compliance on a range of matters, such as US and foreign regulatory filings. Our attorneys also act as counsel to Prudential Investment Management Services LLC, the SEC-registered and FINRA-member broker-dealer through which the Prudential Retirement and Asset Management businesses conduct broker-dealer activities. Collaboration with colleagues in the Law Department, External Affairs and the Compliance Department is a hallmark of our practice.

This position involves primary responsibility for supporting Prudential Investments (Prudentials mutual fund arm) with respect to agreements for the distribution of its family of mutual funds, including preparation of dealer agreements with broker-dealers and service agreements for the sale of funds through third-party retirement distribution channels. This position also offers an opportunity to obtain broad experience working with three senior attorneys.

Qualifications: http://jobs.prudential.com/location/Newark-NJ/VicePresidentCorporateCounsel/US%200000R

Contact: http://jobs.prudential.com/location/Newark-NJ/VicePresidentCorporateCounsel/US%200000R

Position: Director, High Tech Investigations Unit - INV000BF
Company: Prudential-Legal
Location: Newark, NJ

Description: We are a Fortune 100 financial services leader with a dynamic and diverse workforce and a strong emphasis on talent management.  Our High Tech Investigations Unit, part of the larger Corporate Investigations Division, is seeking an experienced individual for the position of Director, High Tech Investigations Unit.  In this capacity, the Director is responsible for conducting end-to-end investigations into incidents of, but not limited to, reported data loss, intellectual property theft, malicious network activity, misuse of company resources, conflicts of interest, violations of the Digital Millennium Copyright Act (DMCA), and violations of Prudentials internal policies and procedures.  This position requires the ability to conduct forensic examinations of Microsoft/Apple/Blackberry host and mobile devices, conduct subject interviews, and write clear and concise findings reports for management and stakeholders.  The position will also require the ability to provide forensic audio services, including audio enhancement.  The Director will have the opportunity to identify new tools and methods for proactively identifying misconduct involving computer technology, as well as review and update the groups Standard Operations Procedures.  When needed, the Director will be required to assist in the collection of electronically stored information (ESI) in support of the firms eDiscovery practices.

Qualifications: http://jobs.prudential.com/location/Newark-NJ/DirectorHighTechInvestigationsUnit/INV000BF

Contact: http://jobs.prudential.com/location/Newark-NJ/DirectorHighTechInvestigationsUnit/INV000BF

 

Position: Compliance Manager - SEC00033
Company: Prudential-Compliance
Location: Newark, NJ

Description: The position reports to the Director, Securities Monitoring Unit, and will support the employee trade monitoring function within the Compliance Department.  The individual will deal with highly sensitive information for employees throughout the Company, including the most Senior Officers and the Board of Directors, and will be expected to handle issues professionally and use appropriate discretion and judgement.

Qualifications: http://jobs.prudential.com/location/Newark-NJ/ComplianceManager/SEC00033

Contact: http://jobs.prudential.com/location/Newark-NJ/ComplianceManager/SEC00033

 

Position: Compliance Manager - Compliance Testing Unit (CTU) - COM0005Z
Company: Prudential-Compliance
Location: Newark, NJ

Description: The Compliance Testing Unit (CTU) is a centralized unit within the Corporate Compliance Department of Prudential Financial, Inc.  CTU focuses on regulatory requirements relating to branch office inspections and reviews of policies and procedures and the effectiveness of their implementation for certain of Prudentials regulated entities. These regulated entities include securities broker-dealers as well as registered investment companies and investment advisers.  Working with compliance and legal officers, CTU utilizes a risk-based approach to develop and execute these inspections and reviews. CTU reports its findings to compliance and business unit management, and where appropriate, works with the local chief compliance officers and business unit management on potential enhancesments to local policies and procedures.  The successful candidate will report to a Director within CTU and will be responsible for assisting in the development, execution and documentation of CTUs inspections and reviews.

Qualifications: http://jobs.prudential.com/location/Newark-NJ/ManagerComplianceTestingUnitCTU/COM0005Z

Contact: http://jobs.prudential.com/location/Newark-NJ/ManagerComplianceTestingUnitCTU/COM0005Z

 

Position: Compliance Manager - Field Support & Examinations - FIE0000J
Company: Prudential-Compliance
Location: Newark, NJ

Description: This position reports directly to the Director of the Prudential Advisors Field Support & Examinations Unit.  The individual will support the Field Support & Examinations Unit in implementing compliance oversight procedures by assisting on field office inspections and providing compliance support for the Prudential Advisors business, as well as supporting various compliance control and testing activities.  Role requires presence in Prudential Advisors home office locations (Newark and Woodbridge, NJ) as needed for key meetings with business partners and Compliance Management.

Qualifications: http://jobs.prudential.com/location/Dresher-PA/ManagerFieldSupportExaminationsComplianc/FIE0000J

Contact: http://jobs.prudential.com/location/Dresher-PA/ManagerFieldSupportExaminationsComplianc/FIE0000J

 

Position: Compliance Manager - Adviser Due Diligence - PRU000KV
Company: Prudential-Compliance
Location: Newark, NJ

Description: Prudential Investments (PI) Compliance has two open compliance positions that focus on compliance oversight of investment advisers and sub-advisers (collectively advisers) to products within Prudential's domestic business.   The candidate will provide critical support to the Director, Compliance: Regulatory Due Diligence, by conducting on-site and telephonic adviser reviews.  He or she will evaluate the effectiveness of an adviser's compliance program.  Significant travel is required in this position.  Responsibilities include: Performing regulatory due diligence reviews of new and existing investment advisers for Prudential sponsored mutual funds and other products to ensure advisers are meeting regulatory and best practice requirements. 

Qualifications: http://jobs.prudential.com/location/Newark-NJ/ComplianceManagerAdviserDueDiligence/PRU000KV

Contact: http://jobs.prudential.com/location/Newark-NJ/ComplianceManagerAdviserDueDiligence/PRU000KV

 

Position: Compliance Manager, Portfolio Surveillance – PRU000L1
Company: Prudential-Compliance
Location: Newark, NJ

Description: Prudential Investments Compliance, Portfolio Monitoring and Board Reporting, is responsible for monitoring all portfolios within the Prudential Investments/Advanced Series Trust (PI/AST) mutual fund complex for compliance with approved policies, prospectus and statement of additional information guidelines and restrictions, as well as, applicable Federal and Securities and Exchange Commission (SEC) regulations.  The mutual fund complex operates on a manager of managers platform and as such delegates day to day management of each portfolio to affiliated and non-affiliated sub advisers. This position will play a key role within the department and is expected to engage in activities including, but not limited to, communication, advice, oversight, and monitoring of appropriate implementation of corrective actions.

The scope and responsibilities of this role will not be static.  As the business needs and compliance objectives change, the responsibilities of the position are expected to evolve in order to meet the changing landscape of departmental deliverables.

Qualifications: http://jobs.prudential.com/location/Newark-NJ/ComplianceManagerPortfolioSurveillance/PRU000L1

Contact: http://jobs.prudential.com/location/Newark-NJ/ComplianceManagerPortfolioSurveillance/PRU000L1

 

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