AVP, Associate Counsel

Are you a team player? Are you curious to learn? Are you interested in working on meaningful projects? Do you want to work with cutting-edge technology? If so, LPL Financial is the place for you!Job Overview : The Legal Department at LPL Financial is looking for an attorney to support LPL and our financial professionals in providing financial services to clients across the United States. This attorney will provide advice on agreements, laws, and regulations impacting LPL’s support of vulnerable investors and changes in account status arising from death, divorce, or the use of trusts and powers of attorney. The role, Assistant Vice President, Associate Counsel, will work with an experienced team of lawyers to provide pragmatic legal advice and thought leadership to help LPL serve and protect investors. A successful candidate must be willing to learn new areas and have a background in either broker-dealer regulation or estates, divorce, and protecting vulnerable adults.Responsibilities : Respond to legal and regulatory issues affecting LPL and financial professionals, focusing on agreements, laws, and regulations impacting changes in investors’ circumstances such as death, marital status, legal capacity, and vulnerability.Provide advice on SEC, FINRA, and state regulations on investor protection, trusted contacts, asset and transaction holds, privacy, and supervision pertaining to senior or vulnerable adults.Counsel LPL operations and financial professionals on issues arising from investors’ use of trusts, retirement accounts, powers of attorney, designation of beneficiaries, and appointment of custodians, including advice on the impact of probate, divorce, separation, guardianship, and other legal proceedings involving account holders.Counsel LPL operations and financial professionals on laws and regulations protecting senior and vulnerable investors, uniform gifts to minors, and reporting requirements of state and local jurisdictions regarding exploitation of vulnerable investors.Deal with a wide range of laws and fact patterns in emotionally charged, time-sensitive situations requiring high emotional intelligence and prompt response, providing sound advice on federal and state laws impacting LPL’s operations and investors.Partner with operations, business colleagues, and other members of our Compliance, Legal, and Risk teams to respond promptly and effectively to novel situations.What 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 can execute in a way that encourages creativity and continuous improvement .Requirements : JD from a nationally accredited law school; admitted to practice law, and in good standing, in at least one jurisdiction in the U.S.3-5 years of experience counseling in the financial services industry, with some familiarity with estates and divorce issues and an interest in learning more.Experience at a law firm, company in the financial services industry, or regulatory agency. Ideal candidates have worked with a focus on financial services, investor protection, or probate, estate, and trusts law.Core Competencies : Strong organizational and project management skills, including the ability to handle multiple tasks and manage deadlines in a fast-paced and demanding work environment.Excellent written and oral communication skills.Good interpersonal skills and ability to interact with members of senior management, along with adaptability and willingness to take on a wide variety of new tasks in a fast-paced environment.Pay Range : $128,925-$214,875 / year. Actual base salary varies based on factors including relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL's 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, 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 about 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 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 OpportunityAt 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.Limitless Career Potential : Your career at LPL has no limits, only amazing potential.Unified Mission : We are one team on one mission—taking care of our advisors so they can take care of their clients.Impactful Work : Our size is just right for you to make a real impact.Commitment to Equality : We support workplace equality and embrace diverse perspectives and backgrounds.Community Focus : We care for our communities and encourage our employees to do the same.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.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.#J-18808-Ljbffr

Salary : $128,925 - $214,875