Banking/Attorney/In House/Newark, New Jersey Counsel Jobs in New_Jersey - 27448 | Submit Resume | General Counsel Consulting
General Counsel Consulting
About us Attorney resources Employer resources Job listings Submit resume Contact Us
General Counsel Consulting
Sign In
Email:
Password:
Forgot your password?
New User?
Signup
GCC
General Counsel
Consulting
provided
exceptional
service in helping
my organization
recruit for a hard
to fill position.
They did extensive
work on the front
end to understand
our needs and
our culture and
began referring
highly qualified
candidates almost
immediately.
 
Melinda Burrows
Deputy General Counsel
- Litigation and
Compliance, Progress
Energy Service Company
LLC
 
 
Click here
 

Job of the Day
In-House Attorney
Verona Wisconsin United States

Position Summary Epic is seeking two attorneys to join its growing legal team. You?ll be on the forefront of an exciting and rapidly changing industry as Epic expands its offerings and enters new global markets. You?ll take ownership over a var...


In House Legal Job Listings

YOUR WINDOW TO A WORLD OF OPPORTUNITIES

Banking/Attorney/In House/Newark, New Jersey

Newark NJ Vice President, Compliance The candidate will have the responsibility for compliance monitoring, support of marketing activities, compliance training, creating and implementing new policies and procedures, and forensic testing. Will assist in monitoring business activities to ensure they are performed in compliance with Company policy, securities laws, and SEC, FINRA, state insurance and applicable foreign regulations. Report to the Chief Compliance Officer of firm. Lead multiple projects that strengthen and maintain compliance activities more broadly across the Prudential Compliance organization. Partner with the law department on a regular basis to analyze changes to regulatory requirements and proactively manage regulatory developments and changes. Promote, protect and set the tone to reflect Prudential's reputation for ethics, integrity and honesty in all dealings. Work with all functional areas of firm management to ensure that appropriate regulatory processes and controls are established and documented. Monitor the effectiveness of established compliance processes and controls and recommend and implement enhancements. Assist management with identifying and resolving regulatory issues both within the business unit and across multiple business units. Assist business unit management with regulatory exams/inquiries and internal audits. Enhance and effectively administer a compliance monitoring program that covers the full client life cycle and each functional area. Develop, organize, and deliver consistent compliance related training, and reinforce all compliance-related communications. Focus on talent management and development of the compliance team.

The candidate should have a Bachelor's degree, J.D. degree or professional designation (such as a CFA) is a plus. Should have 10+ years of asset management compliance experience. Experience in managing and developing junior compliance officers a plus. Experience with other rules and regulations under the Securities Act of 1933, ERISA, FCPA and FINRA a plus. Strong leadership skills are required, including experience dealing with senior management. Should be thoroughly knowledgeable about the SEC regulations and associated policies and procedures necessary to support an investment adviser compliance program. Systems knowledge of trading and compliance monitoring systems, including development and coding of compliance rules essential. Advanced knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 required.
Legal 10 - 0 Full-time 2013-05-17
 
Banking/Attorney/In House/Newark, New Jersey
Refer job# ZXTK27448
 
Vice President, Compliance The candidate will have the responsibility for compliance monitoring, support of marketing activities, compliance training, creating and implementing new policies and procedures, and forensic testing. Will assist in monitoring business activities to ensure they are performed in compliance with Company policy, securities laws, and SEC, FINRA, state insurance and applicable foreign regulations. Report to the Chief Compliance Officer of firm. Lead multiple projects that strengthen and maintain compliance activities more broadly across the Prudential Compliance organization. Partner with the law department on a regular basis to analyze changes to regulatory requirements and proactively manage regulatory developments and changes. Promote, protect and set the tone to reflect Prudential's reputation for ethics, integrity and honesty in all dealings. Work with all functional areas of firm management to ensure that appropriate regulatory processes and controls are established and documented. Monitor the effectiveness of established compliance processes and controls and recommend and implement enhancements. Assist management with identifying and resolving regulatory issues both within the business unit and across multiple business units. Assist business unit management with regulatory exams/inquiries and internal audits. Enhance and effectively administer a compliance monitoring program that covers the full client life cycle and each functional area. Develop, organize, and deliver consistent compliance related training, and reinforce all compliance-related communications. Focus on talent management and development of the compliance team.

The candidate should have a Bachelor's degree, J.D. degree or professional designation (such as a CFA) is a plus. Should have 10+ years of asset management compliance experience. Experience in managing and developing junior compliance officers a plus. Experience with other rules and regulations under the Securities Act of 1933, ERISA, FCPA and FINRA a plus. Strong leadership skills are required, including experience dealing with senior management. Should be thoroughly knowledgeable about the SEC regulations and associated policies and procedures necessary to support an investment adviser compliance program. Systems knowledge of trading and compliance monitoring systems, including development and coding of compliance rules essential. Advanced knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 required.
 
EMAIL TO COLLEAGUE  PERMALINK
This particular job is currently not active. However, since our clients regularly share with us similar and other job openings, we strongly recommend that you submit your resume. We shall review your resume and get in touch with you as soon as a suitable vacancy comes up to further discuss your interest in exploring the opportunity. Assisting you is our highest priority.

Please be assured that none of your materials will be forwarded to any employer without your consent. Of course, all inquiries are kept strictly confidential.
 
 

Shoot for the moon. Even if you miss it, you will land among the stars.