SVP & Associate General Counsel, Financial Services

LPL Financial LLC; 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

Job summary

LPL Financial LLC is seeking a Senior Vice President, Associate General Counsel to provide strategic legal counsel for its broker-dealer and advisory platforms. You will lead a team, guide regulatory strategies, and support financial services while managing legal risks.

The ideal candidate will possess expertise in SEC and FINRA regulations and have experience in complex, highly regulated environments. This position offers a competitive salary range and comprehensive benefits, including health options and 401(k) matching.

Qualifications

• Recognized as a trusted advisor in complex regulatory environments.
• Expertise in SEC and FINRA oversight.
• Working knowledge of federal securities laws and regulations.

Responsibilities

• Provide legal support for LPL’s financial services business.
• Manage team of attorneys aligned to brokerage and business lines.
• Advise on M&A transactions and regulatory approval processes.

Skills

Expertise in broker-dealer regulatory framework

Strategic judgment

Executive presence

Ability to lead high-performing teams

Job description

LPL Financial LLC is seeking a Senior Vice President, Associate General Counsel to provide strategic legal counsel for its broker-dealer and advisory platforms. You will lead a team, guide regulatory strategies, and support financial services while managing legal risks.

The ideal candidate will possess expertise in SEC and FINRA regulations and have experience in complex, highly regulated environments. This position offers a competitive salary range and comprehensive benefits, including health options and 401(k) matching.