Vice President, Assistant General Counsel (Alternative Investment)

Are you a team player? Are you curious to learn? Are you interested in working on meaningful projects? Are you solution-oriented and committed to delivering results? Do you like thinking outside the box, learning new skills and problem solving? If so, then this could be the role 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 18,000 financial advisors, 800 institution-based investment programs and 450 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: LPL Financial seeks an experienced attorney to join its corporate legal advice team as Vice President, Assistant General Counsel. This VP will report to a Senior Vice President responsible for providing strategic legal advice to various business units. This team focuses primarily on LPL’s broker-dealer business but also provides support to the investment advisory business. This position entails advising LPL’s (1) Compliance team; (2) Supervision and Surveillance teams; (3) Product Due Diligence and Onboarding teams; and (4) its Advisor Conduct groups. The ideal candidate is one who can thrive in a fast-paced business environment and can manage a substantial docket autonomously. A qualified candidate will have relevant experience within a law firm, counseling the financial services industry, specifically the broker-dealer and retail investment advisory business with respect to federal, state and SRO regulatory compliance, enforcement defense, and/or agency or private civil litigation/arbitration defense. Responsibilities: Day-to-day legal support for LPL’s financial services business, including providing legal analysis and advice with respect to compliance with applicable rules, regulations and legal risks relating to the brokerage and investment advisory business. Reviewing, revising and developing internal policies and procedures in response to business initiatives and regulatory developments. Performing legal research and drafting memorandums concerning compliance with applicable laws, rules and regulations. Interacting with other members of the Legal Department as well as other LPL units including, amongst other departments, Supervision, Compliance and Risk. What are we looking for? This position requires excellent communication skills, both verbal and written. The candidate must demonstrate keen strategic thinking, and have excellent analytical, project management and time management abilities. The candidate will be expected to perform thorough legal research and document such analyses and conclusions. Presentation skills are also highly important. Provide timely escalations to partners within LPL’s control functions, including risk assessments and status updates of matters for executive management. Requirements: 5-7 years of experience in dealing with issues arising under the Securities Exchange Act, Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA rules and regulations as well as related federal and state securities laws. Proficiency in legal writing, performing legal research (LexisNexis preferred) and written communication skills. Strong working knowledge of federal securities laws and rules making process; regulatory notices; interpretive guidance; and agency interpretations. Understanding of regulatory landscape applicable to broker-dealers and registered investment advisers, including a familiarity with regulatory processes (SEC and FINRA). Proficiency with MS Word, Excel, PowerPoint, and Outlook. Core Competencies: Ability to interface effectively with internal personnel as well as LPL advisors, clients and their counsel. Ability to understand and assess a wide variety of complex business models. Highly-motivated self-starter able to work independently while collaborating and coordinating as part of a global program. Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment. Exceptional written and verbal communications skills, attention to detail, and effective time management. Sound judgment and an ability to appropriately escalate issues internally. Proven ability to handle highly confidential information professionally and with appropriate discretion. Outstanding interpersonal skills and team-player attitude. Pay Range: $180,100.00 - $300,100.00 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 – 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! 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. Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work. Want to hear from our employees on what it’s like to work at LPL? Watch this! We take social responsibility seriously. Learn more here. Want to see info on our benefits? 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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