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 laws and regulations that impact 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.Responsibilities:Providing advice on SEC and FINRA regulations on investor protection, trusted contacts, asset and transaction holds, privacy, and supervision pertaining to senior or vulnerable adults.Providing strategic advice on legal and regulatory issues affecting LPL and financial professionals, focusing on laws and regulations impacting changes in an investors’ circumstances such as: death, marital status, legal capacity, exploitation, and vulnerability.Counseling LPL operations and financial professionals on issues arising from investors’ use of: trusts, powers of attorney, designation of beneficiaries, and appointment of custodians. Also provides advice on the impact of probate, divorce, separation, guardianship, and other legal proceedings involving account holders.Counseling LPL operations and financial professionals on issues arising from laws and regulations protecting senior and vulnerable investors, uniform gifts to minors, and reporting requirements of state and local jurisdictions regarding the exploitation of vulnerable investors.These issues frequently involve state and local laws which are not uniform. The attorney must be able to deal with a wide range of laws and fact patterns. The circumstances that lead to these issues can be emotionally charged and time-sensitive and require high emotional intelligence and prompt response.Partnering with our product/business colleagues and other members of our Compliance, Legal, and Risk teams to drive thought leadership in this practice area.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 are able to 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 on laws, rules, and regulations impacting the financial services industry.Experience at a law firm, company in the financial services industry, or regulatory agency. Ideal candidate has 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 projects 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 as well as adaptability and willingness to take on a wide variety of new tasks in a fast-paced environment.Pay Range:

$121,920-$182,880/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.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.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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