VP, 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!

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.

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 of attorneys who work closely with others across Legal and the firm.

LPL Financial is searching for a VP, Associate 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.

Pay Range:

$163,700.00 - $272,900.00. 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.

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

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.

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