Senior Legal Counsel

New York Permanent $200,000 - $240,000 per year
  • Banking/ Finance company looking to expand their In-House legal capability.
  • Hybrid: 2-3 days in the New York, Manhattan office & 1-2 days/ week at home.

About Our Client

This is an exciting role working with a highly prestigious banking/ financial services organization, headquartered in New York City, Manhattan.

Job Description

A varied role, working within the In-House Legal Team, as Senior Legal Legal Counsel you will:

    • Working closely with business partners, drafting, reviewing and/ or negotiating client agreements, intermediary agreements, service provider and other agreements, preparing/ reviewing forms and other disclosures.
    • Providing legal advice to internal business clients on investment advisory, investment company and regulatory issues, supporting with developing new strategies as well as providing counsel on existing strategies.
    • Responsible for legal support to key internal partners including product development, sales team, compliance and marketing departments.
    • Reviewing annual ADV disclosures and any amendments; assisting with registration and regulatory disclosures for funds, including annual registration statements, N-CSR and semi-annual reports, proxy statements and information statements.
    • Providing legal support for responses to regulatory inquiries.

The Successful Applicant

Demonstrable qualifications/ background for the Senior Legal Counsel:

Qualifications/ experience-

    • Essential - possess a J.D. from a nationally recognized law school and at least five years' experience as a lawyer in a major law firm or in the legal department of a leading financial services organization.
    • Essential - experience with the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
    • Ideally familiarity with insurance mutual funds.
    • Strong analytical, written and oral communication and relationship building skills, as well as the ability to work effectively both independently and as a member of the team, in a demanding, fast-paced environment handling multiple tasks and projects concurrently while demonstrating consistent attention to detail.
    • Strong interest and commitment to staying abreast of regulatory developments (e.g., new SEC rules and enforcement proceedings) impacting covered businesses and assisting internal partners proactively to respond to such developments.


    • Good judgment and the ability to give business partners clear and timely legal advice.
    • Analytical 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 coordinate and work as a team with legal and business partners.
    • Ability to develop effective working relationships with counterparts at intermediary firms.
    • Actively participate in programs of the Prudential enterprise's Law, Compliance, Business Ethics and External Affairs Department.

What's on Offer

As Senior Legal Counsel, aside from working within a highly thought of In-House legal team you will benefit from:

  • Competitive base salary and wider compensation/ incentive plan
  • Hybrid working environment: 2-3 days/ week in the prestigious New York, Manhattan office and 1-2 days/ week working from home
  • Comprehensive health insurance plan
  • Generous PTO
  • Healthy work/ life balance and extensive wider benefits package, well-being perks etc.
Anna Jacobs
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Job summary

Legal Subsector
Financial Services
New York
Contract type
Consultant name
Anna Jacobs
Job reference

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