VP, Assistant General Counsel - Brokerage & M&A

LPL Financial; Fort Mill (SC); On-site; USD 169,000 - 281,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial is seeking an experienced attorney to serve as Vice President, Assistant General Counsel, Brokerage, reporting to a Senior Vice President. The role centers on strategic legal advice for the broker-dealer, investment advisory businesses, and related platform conversions.

The ideal candidate has extensive experience with Securities Exchange Act, FINRA, and SEC regulations, strong legal writing, and the ability to manage a substantial docket autonomously in a fast-paced environment.

Qualifications

• 5-10 years of experience in dealing with issues arising under the Securities Exchange Act, Investment Advisers Act of 1940, FINRA rules and regulations as well as related federal and state securities laws.
• Experienced in legal writing, performing legal research (LexisNexis preferred) and written communication skills.
• Experienced with the regulatory landscape applicable to broker-dealers and registered investment advisers, including familiarity with regulatory processes (SEC and FINRA).
• Experience with supporting financial institutions in conversions and FINRA regulatory applications.

Responsibilities

• Provide day-to-day legal support for LPL’s financial services business, including providing legal analysis and advice with respect to applicable rules, regulations and legal risk relating to the brokerage and investment advisory business.
• Work with a senior attorney on internal merger and acquisition projects supporting conversions and serving as a legal advisor to the business, compliance, operations and senior management to ensure regulatory approvals are obtained and organizational changes are implemented in compliance with applicable securities laws and FINRA rules.
• Provide conversion and integration support, including advice and counsel on legal and regulatory implications of business migrations, repapering efforts, bulk transfers, and operational changes.
• Drafting and modifying client agreements, account documentation and disclosures, and filings with regulators. Performing legal research and drafting memorandums concerning compliance with applicable laws, rules and regulations.
• Interacting with other members of the Legal Department as well as other LPL units including, amongst other departments, Compliance and Risk.

Skills

Securities regulations

FINRA rules

Regulatory compliance

Legal writing

M&A support

Client advisement

Confidential information handling

Tools

LexisNexis

Microsoft Word

Microsoft Excel

PowerPoint

Job description

LPL Financial is seeking an experienced attorney to serve as Vice President, Assistant General Counsel, Brokerage, reporting to a Senior Vice President. The role centers on strategic legal advice for the broker-dealer, investment advisory businesses, and related platform conversions.

The ideal candidate has extensive experience with Securities Exchange Act, FINRA, and SEC regulations, strong legal writing, and the ability to manage a substantial docket autonomously in a fast-paced environment.