Chief Legal Architect – Advisory, Brokerage & Banking

LPL Financial; New York (NY); On-site; USD 311,000 - 519,000; Full time

Job summary

LPL Financial seeks a transformative EVP, Head of Advisory & Brokerage, Banking & Lending, and Product Legal to lead the firm’s legal strategy for brokerage, advisory, banking, lending, and product matters.

The role combines senior legal leadership, strategic acumen, and team management to drive outcomes with strong risk analysis while partnering with business leaders across the enterprise.

Qualifications

• 15+ years' experience as an attorney advising a financial services firm or serving financial services clients.
• Experience leading high performing and solutions-oriented teams.
• Strong working knowledge of the legal standards and regulatory frameworks applicable to retail financial services.
• Deep familiarity with brokerage and advisory requirements, SEC and FINRA rules and regulations, banking and lending legal frameworks.
• JD and an undergraduate degree from accredited institutions and a state bar membership in good standing are required.

Responsibilities

• Provide senior management with strategic leadership, insights, and risk management for LPL’s core businesses.
• Lead and inspire a best-in-class team of attorneys and legal staff managing complex issues.
• Develop talent on your team with a client-centered approach and collaboration with business partners.
• Collaborate with colleagues in Legal and Government Relations to integrate insights and inform advice.
• Oversee a team that advises cross-functional partners including Compliance, Risk and Supervision.
• Partner with Regulatory Team to set strategy for engaging with regulatory bodies.
• Leverage data and industry developments to provide actionable insights to business partners.
• Bring innovation to reimagine processes and deliver client-focused legal advice and strategy.
• Facilitate a tech-enabled department through relevant applications and processes.
• Ensure the team supports the business units’ goals and OKRs.

Skills

Leadership

Strategic thinking

Team management

Risk analysis

Communication skills

Education

JD

Undergraduate degree

Bar admission in good standing

Job description

LPL Financial seeks a transformative EVP, Head of Advisory & Brokerage, Banking & Lending, and Product Legal to lead the firm’s legal strategy for brokerage, advisory, banking, lending, and product matters.

The role combines senior legal leadership, strategic acumen, and team management to drive outcomes with strong risk analysis while partnering with business leaders across the enterprise.