VP, Assistant General Counsel

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Job Overview:

The Vice President, Investigations will report to the Head of Investigations and will manage a team of other lawyers and investigators.  The successful candidate will have an understanding of employment law, proper handling of employee relations matters, and prior experience conducting and coordinating process driven investigations, leading a team of investigators and analysts, and providing investigative findings to appropriate parties. 

Responsibilities:

• Evaluate legal, financial, regulatory and reputational risk in investigative referrals and escalate to senior management as needed; act as a liaison with other LPL departments, including Human Resources to coordinate investigative efforts.

• Manage a team of investigators and provide guidance and oversight on the team’s investigations; conduct, coordinate, and supervise significant investigations.

• Identify, advance and oversee productivity and efficiency initiatives within the group.

• Provide leadership to address key strategic initiatives and opportunities, working in collaboration with multiple functions and business channels.

• Consult and coach HR team members and business unit managers on company policy interpretation and investigations and provide solution-oriented recommendations and partner with the HRBP in the execution of solutions.

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work

Requirements:

• Minimum of seven years’ experience conducting sound, process-driven investigations.

• Strong knowledge of Employment law, with demonstrated experience in investigative principles.

• General knowledge of Financial Services industry regulation, i.e., at a bank, broker-dealer, credit union, insurance company.

• Experience managing a team.

• Ability to travel as needed.

Core Competencies:

• Excellent oral and written communication skills, including substantial experience in conducting interviews.

• Possess superior judgment and aptitude for evaluating investigative referrals in a timely and substantive manner with strong interpersonal skills and an ability to interact with senior business and compliance partners across the firm.

• Proven ability to multi-task.

• Deep analytical skills with demonstrated ability to work within the "gray" and make sound assessments and provide effective recommendations for varying situations/circumstances.

• Effective, active listening skills.

• Demonstrated ability to work independently and across group settings with focus on adjusting to different work styles and personalities.

• Rhetorically sensitive - knows what to say and when, as well as when to involve own manager.

• Ability to prioritize workload, remain flexible, accept feedback and adjust accordingly under tight deadlines.

Preferences:

• Juris Doctor degree, with admission in good standing to a State Bar

• Knowledge of California employment laws and regulations.

• Experience at a broker/dealer, securities-related regulatory entity, law enforcement agency, or a law firm, with significant exposure to investigation practices and procedures involving misappropriation, theft, fraud, etc.

Pay Range:

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

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