SVP, Associate General Counsel - Securities Lending and Institution Support

Responsibilities Securities Lending, Collateral Arrangements and Regulatory Compliance: The ideal candidate will have deep expertise in securities finance, prime brokerage, and related capital markets activity. This role requires close partnership with trading desks, operations, compliance, risk, and external counterparties. Institution Services / Product Manufacturing: Lead a team responsible for maintaining and negotiating contracts with third-party financial institutions to support the institution services business, which currently supports over 1,100 financial institutions. Provide thought leadership on legal and regulatory issues impacting investment services at banks and credit unions. Collaborate with internal stakeholders on issues ranging from technology and data transfer to regulatory oversight and vendor management. Manage outside counsel as needed. Product / Services: Lead a team that provides legal advice on developing and deploying advisor-facing services and banking and lending solutions for investor clients. Oversee products like advisor lending, margin, securities-backed lines of credit, cash management, checking/debit services, and credit cards. Support strategic initiatives to enhance the business practices of LPL advisors. Qualifications Graduated from an accredited law school and active bar membership in good standing. 15+ years of corporate legal experience, ideally with a combination of law firm transactional/regulatory practice and in-house experience at a bank, broker-dealer, asset manager, or financial services firm, preferably in wealth management. Experience working with the Securities Exchange Act, Investment Advisers Act, SRO rules, federal banking laws, and corporate law principles. Strong drafting, negotiation, and communication skills. Excellent interpersonal skills with the ability to interact with senior management and clients. Adaptable and willing to take on diverse tasks. Pay Range:

$207,075 - $345,125 / year Actual salary varies based on skills, experience, education, location, and performance. LPL offers a competitive Total Rewards package including 401K matching, health benefits, stock options, paid time off, volunteer days, and more. The recruiter can provide further details. LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded to serve advisors and institutions. We serve over 23,000 financial advisors, around 1,000 institutions, and 580 RIAs nationwide. We are committed to the advisor-mediated model and providing access to personalized financial guidance. At LPL, independence means advisors and institutions can choose their business models, services, and technology. They have the flexibility to manage client relationships and run their businesses effectively. We support our advisors and institutions so they can serve their clients best. Join LPL Financial: Where Your Potential Meets Opportunity We believe everyone deserves objective financial guidance. As a leading independent broker-dealer, we offer advanced technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth with supportive leadership. Limitless Career Potential: Your career growth has no limits here. Unified Mission: We work together to support our advisors and clients. Impactful Work: Our size allows you to make a real difference. Workplace Equality: We embrace diversity and inclusion. Community Engagement: We encourage giving back. Benefits and Total Rewards: Our package includes traditional and unique benefits to support your life at work and home. Join us and help turn aspirations into realities. Apply by logging in or creating an account. Principals only. EOE. Interview Information LPL communicates with applicants via email and does not conduct online chat interviews or request payments or banking information. For questions, contact our HR Solutions Center at (855) 575-6947. Job ID: R-043821

#J-18808-Ljbffr