SVP & Associate General Counsel, Financial Services

LPL Financial; Fort Mill (SC); On-site; USD 213,313 - 355,453; Full time

Benefits offered by this job

401(k) matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial is seeking a Senior Vice President, Associate General Counsel, to provide strategic legal advice to its broker-dealer, custodial, and investment advisory platform businesses. This senior role involves partnering with senior leadership and managing a team of experienced attorneys.

The ideal candidate will have expertise in regulatory frameworks, a strong ability to lead teams, and the skills to advise on emerging areas like AI and digital assets. LPL offers a competitive pay range alongside comprehensive benefits.

Qualifications

• Expertise in the regulatory framework governing broker-dealers and investment advisers.
• Ability to lead and develop high-performing teams of attorneys.
• Working knowledge of federal securities laws.

Responsibilities

• Provide day-to-day legal support for LPL’s financial services business.
• Review and develop internal policies and procedures.
• Advise on due diligence standards for alternative investments.

Skills

Regulatory framework knowledge

Strategic judgment

Executive presence

Talent leadership

Job description

LPL Financial is seeking a Senior Vice President, Associate General Counsel, to provide strategic legal advice to its broker-dealer, custodial, and investment advisory platform businesses. This senior role involves partnering with senior leadership and managing a team of experienced attorneys.

The ideal candidate will have expertise in regulatory frameworks, a strong ability to lead teams, and the skills to advise on emerging areas like AI and digital assets. LPL offers a competitive pay range alongside comprehensive benefits.