SVP & Associate General Counsel, Financial Services

LPL Financial; New York (NY); 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 and investment advisory operations. This role involves managing a team of attorneys and working closely with senior leadership to shape legal and regulatory strategies.

The ideal candidate will have expertise in the regulatory landscape governing financial services, strong executive presence, and an ability to lead high-performing legal teams. An attractive compensation package, including healthcare and stock options, is offered.

Qualifications

• Recognized as a trusted advisor by senior leaders in complex, highly regulated environments.
• Expertise in SEC and FINRA oversight.
• Working knowledge of federal securities laws and regulatory processes.

Responsibilities

• Provide day-to-day legal support for LPL's financial services business.
• Review and develop internal policies in response to regulations.
• Conduct legal research and draft related memoranda.

Skills

Regulatory framework governing broker-dealers

Executive presence

Commercial mindset

Strategic judgment

Talent leadership

Job description

LPL Financial is seeking a Senior Vice President, Associate General Counsel to provide strategic legal advice to its broker-dealer and investment advisory operations. This role involves managing a team of attorneys and working closely with senior leadership to shape legal and regulatory strategies.

The ideal candidate will have expertise in the regulatory landscape governing financial services, strong executive presence, and an ability to lead high-performing legal teams. An attractive compensation package, including healthcare and stock options, is offered.