VP, Assistant General Counsel

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

Job Overview

The Regulatory Enforcement group within Legal manages complex federal, state, and SRO investigations and regulatory matters.  Our attorneys often serve as the primary point of contact with LPL’s regulators in these matters and are key drivers behind case strategy and matter management.  You will be joining an experienced, knowledgeable, and collegial group attorneys who work closely with others across Legal and the firm.

LPL Financial is searching for a VP, Assistant General Counsel to join its Regulatory Enforcement group within the Legal department.  This position can be based out of Fort Mill, SC, Washington, DC. Boston, MA, or San Diego, CA.

Responsibilities:

• Manage matters both independently and with the assistance of outside counsel. 

• Develop and execute on case strategy and management. 

• Scope, negotiate, manage, and produce responses to requests for information and documents.

• Draft written work product, including correspondence with regulators, advocacy presentations, talking points for discussions with various parties and stakeholders, and executive-level briefing and summary materials.   

• Prepare witnesses for testimony. 

• Brief senior lawyers and others in the business on key matter developments, risks, and recommendations. 

• Efficiently manage outside counsel. 

Who are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

• Juris Doctor degree

• Licensed member of any bar, in good standing

• Minimum of 6 years of securities regulatory enforcement experience; prior employment at a law firm and/or with a securities regulator is highly desirable

• Experience with the Securities Exchange Act of 1934, Investment Advisers Act of 1940, and rules and regulations of self-regulatory organizations

Core Competencies:

• Strong matter management skills, including the ability to manage multiple cases and deadlines in a fast-paced and dynamic work environment

• Superior communication, writing, and analytical skills.

#LI-PA

Pay Range:

$163,725-$272,875/year
 Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
 

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

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