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Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!
LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 24,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.
Job Overview
The Regulatory Enforcement group within Legal manages complex federal, state, and SRO investigations and regulatory matters. Our attorneys often serve as the primary point of contact with LPL’s regulators in these matters and are key drivers behind case strategy and matter management. You will be joining an experienced, knowledgeable, and collegial group attorneys who work closely with others across Legal and the firm.
LPL Financial is searching for a VP, Associate Counsel to join its Regulatory Enforcement group within the Legal department. This position can be based out of Fort Mill, SC, Washington, DC. Boston, MA, or San Diego, CA.
Responsibilities:
Manage matters both independently and with the assistance of outside counsel.
Develop and execute on case strategy and management.
Scope, negotiate, manage, and produce responses to requests for information and documents.
Draft written work product, including correspondence with regulators, advocacy presentations, talking points for discussions with various parties and stakeholders, and executive-level briefing and summary materials.
Prepare witnesses for testimony.
Brief senior lawyers and others in the business on key matter developments, risks, and recommendations.
Efficiently manage outside counsel.
Who are we looking for?
We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
Requirements:
Juris Doctor degree
Licensed member of any bar, in good standing
Minimum of 6 years of securities regulatory enforcement experience; prior employment at a law firm and/or with a securities regulator is highly desirable
Experience with the Securities Exchange Act of 1934, Investment Advisers Act of 1940, and rules and regulations of self-regulatory organizations
Core Competencies:
Strong matter management skills, including the ability to manage multiple cases and deadlines in a fast-paced and dynamic work environment
Superior communication, writing, and analytical skills.
Pay Range:
$163,700.00 - $272,900.00
At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are one team on one mission. We take care of our advisors, so they can take care of their clients.
Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.
Want to hear from our employees on what it’s like to work at LPL? Watch this!
We take social responsibility seriously. Learn more here
Want to see info on our benefits? 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.
- $163,700 - $272,900
