LPL Financial
VP, Associate General Counsel - Brokerage Advice
LPL Financial, Fort Mill, South Carolina, United States, 29715
VP, Associate General Counsel - Brokerage Advice
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LPL Financial
as Vice President, Associate General Counsel for Brokerage. This role reports to the Senior Vice President and provides strategic legal advice to the broker‑dealer and investment advisory units.
Job Overview LPL Financial
seeks an experienced attorney to join its corporate legal advice team. The VP will advise the Business Development Unit, the Corporate Transaction and M&A team, and various affiliation models and brokerage and custodial platforms. The candidate must thrive in a fast‑paced business environment and manage a substantial docket autonomously. Private practice experience is highly desired; prior in‑house counsel experience is preferred but not required.
Responsibilities
Day‑to‑day legal support for LPL’s financial services business, providing legal analysis and advice regarding applicable rules, regulations, and legal risk related to brokerage and investment advisory.
Collaborate with a senior attorney on internal merger and acquisition projects, development and maintenance of LPL’s brokerage and custodial platforms for advisors, and business development initiatives, including engagement with FINRA and its MAPS team to assist with CMA.
Draft and modify client agreements, account documentation, disclosures, and filings with regulators; perform legal research and draft memorandums concerning compliance with applicable laws, rules, and regulations.
Interact with other members of the Legal Department and units such as Compliance and Risk.
Requirements
5+ years of experience dealing with issues under the 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 strong written communication skills.
Understanding of the regulatory landscape applicable to broker‑dealers and registered investment advisers, including familiarity with SEC and FINRA processes.
Experience with FINRA continuing membership applications and knowledge of SEC Custodial Rule and Customer Protection Rule is highly preferred.
Proficiency with MS Word, Excel, PowerPoint, and Outlook.
Preferences
Transactional experience in mergers and acquisitions, securities transactions, non‑disclosure agreements, etc.
Ability to interface effectively with investment personnel, LPL advisors, clients, and counsel.
Ability to assess a wide variety of complex commercial transactions.
Self‑starter who can work independently while collaborating as part of a global program.
Strong analytical and problem‑solving skills with viable solutions in a time‑sensitive environment.
Exceptionally written and verbal communication skills, attention to detail, and effective time management.
Sound judgment and ability to appropriately elevate issues internally.
Professional handling of highly confidential information with discretion.
Pay Range $163,725 – $272,875 per year. Actual base salary varies based on factors such as skill, experience, education, internal peer base, performance, and geographic location. LPL Total Rewards package includes 401(k) matching, health benefits, stock options, paid time off, volunteer time off, and more.
Company Overview LPL Financial Holdings Inc.
(Nasdaq: LPLA) is a leading independent broker‑dealer and wealth‑management sponsor, serving over 29,000 financial advisors and the wealth‑management practices of 1,100 financial institutions. The firm supports approximately $1.9 trillion in brokerage and advisory assets for roughly 7 million clients worldwide.
Information on Interviews LPL will communicate only from a
@lplfinancial.com
email address and will never conduct an interview online or in a chatroom. LPL will not request any form of payment or personal financial information. For questions, contact LPL Human Resources Solutions Center at (855) 575‑6947.
Personal referrals increase your chances of interviewing at LPL Financial by 2x. Applicants are encouraged to log in or create an account to apply. This position is for principals only. EOE. EAC1.22.25
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LPL Financial
as Vice President, Associate General Counsel for Brokerage. This role reports to the Senior Vice President and provides strategic legal advice to the broker‑dealer and investment advisory units.
Job Overview LPL Financial
seeks an experienced attorney to join its corporate legal advice team. The VP will advise the Business Development Unit, the Corporate Transaction and M&A team, and various affiliation models and brokerage and custodial platforms. The candidate must thrive in a fast‑paced business environment and manage a substantial docket autonomously. Private practice experience is highly desired; prior in‑house counsel experience is preferred but not required.
Responsibilities
Day‑to‑day legal support for LPL’s financial services business, providing legal analysis and advice regarding applicable rules, regulations, and legal risk related to brokerage and investment advisory.
Collaborate with a senior attorney on internal merger and acquisition projects, development and maintenance of LPL’s brokerage and custodial platforms for advisors, and business development initiatives, including engagement with FINRA and its MAPS team to assist with CMA.
Draft and modify client agreements, account documentation, disclosures, and filings with regulators; perform legal research and draft memorandums concerning compliance with applicable laws, rules, and regulations.
Interact with other members of the Legal Department and units such as Compliance and Risk.
Requirements
5+ years of experience dealing with issues under the 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 strong written communication skills.
Understanding of the regulatory landscape applicable to broker‑dealers and registered investment advisers, including familiarity with SEC and FINRA processes.
Experience with FINRA continuing membership applications and knowledge of SEC Custodial Rule and Customer Protection Rule is highly preferred.
Proficiency with MS Word, Excel, PowerPoint, and Outlook.
Preferences
Transactional experience in mergers and acquisitions, securities transactions, non‑disclosure agreements, etc.
Ability to interface effectively with investment personnel, LPL advisors, clients, and counsel.
Ability to assess a wide variety of complex commercial transactions.
Self‑starter who can work independently while collaborating as part of a global program.
Strong analytical and problem‑solving skills with viable solutions in a time‑sensitive environment.
Exceptionally written and verbal communication skills, attention to detail, and effective time management.
Sound judgment and ability to appropriately elevate issues internally.
Professional handling of highly confidential information with discretion.
Pay Range $163,725 – $272,875 per year. Actual base salary varies based on factors such as skill, experience, education, internal peer base, performance, and geographic location. LPL Total Rewards package includes 401(k) matching, health benefits, stock options, paid time off, volunteer time off, and more.
Company Overview LPL Financial Holdings Inc.
(Nasdaq: LPLA) is a leading independent broker‑dealer and wealth‑management sponsor, serving over 29,000 financial advisors and the wealth‑management practices of 1,100 financial institutions. The firm supports approximately $1.9 trillion in brokerage and advisory assets for roughly 7 million clients worldwide.
Information on Interviews LPL will communicate only from a
@lplfinancial.com
email address and will never conduct an interview online or in a chatroom. LPL will not request any form of payment or personal financial information. For questions, contact LPL Human Resources Solutions Center at (855) 575‑6947.
Personal referrals increase your chances of interviewing at LPL Financial by 2x. Applicants are encouraged to log in or create an account to apply. This position is for principals only. EOE. EAC1.22.25
#J-18808-Ljbffr