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!

LPL Financial (Nasdaq : LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader

• in the markets we serve, supporting more than 24,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

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 :

163,700.00 - $272,900.00Actual 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!

Salary : $163,700 - $272,900