Regulatory Enforcement Counsel

1 week ago


Washington, United States LPL Financial Full time
Company Overview

LPL Financial is a leading independent broker-dealer that offers an integrated platform of proprietary technology, brokerage, and investment advisor services. Our company's objective financial guidance is a fundamental need for everyone.

Salary and Benefits

The estimated salary range for this position is $163,700 - $272,900 annually. In addition to the base salary, our comprehensive Total Rewards package includes 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

Job Description

We are seeking a skilled VP, Associate Counsel to join our Regulatory Enforcement group within the Legal department. The successful candidate will have experience managing complex federal, state, and SRO investigations and regulatory matters. Responsibilities include developing and executing case strategy and management, drafting written work product, and briefing senior lawyers and others in the business on key matter developments.

Required Skills and Qualifications
  • A Juris Doctor degree and licensed member of any bar in good standing
  • Minimum of 6 years of securities regulatory enforcement experience
  • Strong matter management skills and superior communication, writing, and analytical skills
Benefits

We offer a dynamic work environment that encourages creativity and growth, a leadership team that is supportive and responsive, and opportunities for professional development. As a member of our team, you will be part of a collaborative and inclusive workplace culture that values diversity and equality.

Why LPL Financial?

At LPL Financial, we are committed to supporting workplace equality and embracing the different perspectives and backgrounds of our employees. We also care for our communities and encourage our employees to do the same, creating an environment in which you can do your best work.


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