VP, Assistant General Counsel – Regulatory Examinations

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 join its Regulatory Examinations & Inquiries team as Vice President, Assistant General Counsel. The role manages regulatory examinations and inquiries with a high degree of autonomy and partners closely with Legal, Compliance, Supervision, and business leadership to address regulatory risk.

The ideal candidate brings 6+ years of securities exam or enforcement experience, a JD from an accredited law school, and active bar membership.

Qualifications

• JD required and active bar membership.
• 6+ years of experience handling securities exams or enforcement matters.
• Ability to advise on complex regulatory, legal, operational, and reputational risk.

Responsibilities

• Manage regulatory examinations and inquiries from FINRA, SEC, states and other regulators.
• Evaluate legal and regulatory risks and advise on response strategies.
• Represent the Firm in interactions with regulators and negotiate information requests.
• Lead policy and process improvements within the team.
• Mentor and provide leadership to attorneys and legal professionals.

Skills

Regulatory matters

Negotiation

Analytical thinking

Communication

Education

Juris Doctor (J.D.)

Job description

LPL Financial is seeking an experienced attorney to join its Regulatory Examinations & Inquiries team as Vice President, Assistant General Counsel. The role manages regulatory examinations and inquiries with a high degree of autonomy and partners closely with Legal, Compliance, Supervision, and business leadership to address regulatory risk.

The ideal candidate brings 6+ years of securities exam or enforcement experience, a JD from an accredited law school, and active bar membership.