VP & Assistant General Counsel, Retirement & ERISA Compliance

LPL Financial

Fort Mill (SC)

On-site

USD 169,000 - 281,000

Full time

14 days+

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Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial, a leading wealth management firm, seeks an attorney to support its retirement and recordkeeping business as Vice President and Assistant General Counsel. The role involves advising on regulatory, contractual, and compliance matters for advisory, brokerage, custodian, and recordkeeping services related to retirement plans and accounts.

The ideal candidate has 8+ years of experience in financial services law, strong ERISA expertise, and a demonstrated ability to translate complex

Qualifications

JD from a nationally accredited law school and in good standing in at least one US jurisdiction.
8+ years of experience counseling on retirement plans and accounts in financial services.
Extensive knowledge of ERISA and Internal Revenue Code and related retirement-plan services.
Experience advising on collective investment trusts, private funds, and other plan assets.
Interest in developing AI proficiency and adopting emerging AI tools.

Responsibilities

Advise on regulatory developments affecting retirement plans in broker-dealer, advisor, custodian, and recordkeeper contexts (DOL, IRS, SEC, FINRA, state regulators).
Provide legal analysis of compliance, regulatory, and contractual issues for retirement plans and omnibus recordkeeping relationships.
Assist with maintenance of retirement business within advisory and brokerage platforms.
Draft and negotiate contracts with retirement plan clients, platform providers, product sponsors and service providers.
Draft disclosures, communications and other forms for retail IRA and retirement plan clients.