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VP, Associate General Counsel
1 month ago
VP, Associate General Counsel - Brokerage Advice Join LPL Financial as Vice President, Associate General Counsel Brokerage. Apply your expertise in securities law, M&A, and regulatory compliance to support LPLs broker-dealer and investment advisory operations. Job Overview LPL Financial seeks an experienced attorney to join its corporate legal advice team as Vice President, Assistant General Counsel, Brokerage. This VP reports to a Senior Vice President responsible for providing strategic legal advice to various business units. The role focuses on LPLs brokerdealer business while also supporting the investment advisory business. The ideal candidate thrives in a fastpaced environment and can manage a substantial docket autonomously. Responsibilities Provide daytoday legal support for LPLs financial services business, including legal analysis and advice on rules, regulations, and risk related to brokerage and investment advisory. Work with a senior attorney on internal merger and acquisition projects, development and maintenance of LPLs brokerage and custodial platforms, and business development initiatives. Draft and modify client agreements, account documentation and disclosures, and filings with regulators. Perform legal research and draft memoranda on compliance with applicable laws, rules and regulations. Interact with other members of the Legal Department and other LPL units including Compliance and Risk. Candidate Profile Were looking for strong collaborators who deliver exceptional client experiences and thrive in fastpaced, teamoriented environments. Ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value creativity, continuous improvement, and a culture of togetherness and joy. Requirements 5+ years of experience dealing with issues under Securities Exchange Act, Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA rules and regulations, and related federal and state securities laws. Proficiency in legal writing, legal research (LexisNexis preferred), and written communication skills. Understanding of regulatory landscape applicable to brokerdealers and registered investment advisers, including familiarity with SEC and FINRA processes. Experience with FINRA continuing membership applications, previous work at a clearing firm or custodian, and an understanding of the SEC Custodial Rule and Customer Protection Rule is highly preferred but not required. Proficiency with MS Word, Excel, PowerPoint, and Outlook. Preferences Transactional experience in mergers and acquisitions, securities transactions, nondisclosure agreements, etc. preferred. Ability to interface effectively with investment personnel as well as LPL advisors, clients and their counsel. Ability to understand and assess a wide variety of complex commercial transactions. Highly motivated selfstarter capable of working independently while collaborating within a global program. Strong analytical and problemsolving skills, providing viable solutions in a timesensitive environment. Exceptional written and verbal communication skills, attention to detail and effective time management. Sound judgment with the ability to appropriately elevate issues internally. Proven ability to handle highly confidential information professionally and with appropriate discretion. Pay Range $163,725 $272,875 per year. Actual base salary varies based on factors such as relevant skill, prior experience, education, internal peer base salary, demonstrated performance, and geographic location. LPL Total Rewards is competitive, including 401(k) matching, health benefits, employee stock options, paid and volunteer time off, and more. Company Overview LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. It supports over 29,000 financial advisors and the wealthmanagement practices of 1,100 financial institutions, servicing and custodial assets totaling approximately $1.9 trillion for roughly 7 million Americans. LPL offers a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, enabling advisors and institutions to run thriving businesses. Benefits Innovative Environment: creativity, growth, and a responsive leadership team. Limitless Career Potential: no limits on your career at LPL. Unified Mission: one team, one missiontaking care of our advisors so they can care for their clients. Impactful Work: size allows a real impact. Commitment to Equality: workplace equality and diverse perspectives. Community Focus: encouragement to serve communities. Comprehensive Total Rewards: traditional and unique benefits, perks and resources to enhance life at work and at home. Principals only. EOE. Interview Information LPL will communicate only through an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. LPL will never request payment or bank/credit card information from applicants. For questions about the application process, contact LPLs Human Resources Solutions Center at (855) 5756947. #J-18808-Ljbffr
