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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at
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VP, Assistant General Counsel

Job ID: R-012236 Date posted: 12/21/2020 Primary Location CA-San Diego Other Locations TX-Austin , MA-Boston , SC-Fort Mill

LPL Financial is seeking an experienced Attorney to join our Litigation and Arbitration team. This position is responsible for a broad range of in-house legal services, with a primary focus on defending the firm and its advisors in FINRA arbitrations and litigation matters. The attorney in this position will handle matters in-house, including through a trial or hearing, and will also manage some cases handled by outside counsel. Additional responsibilities will include rendering legal advice and counsel to the company and business units while working to achieve equitable resolution of claims and responding to customer complaints and regulatory inquiries.

Specific Responsibilities:

  • Defend litigation and arbitration matters brought against the company and its advisors. Evaluate legal and regulatory risk and exposure, control own calendar, meet all deadlines, draft pleadings, manage discovery, and handle settlement negotiations and/or the trial or arbitration hearing. Work and communicate effectively with in-house team of attorneys, paralegals and assistants, as well as outside counsel, whether in our offices or remotely.
  • Monitor insurance status of claims; draft and transmit insurance coverage correspondence and participate in claims meetings and negotiations.
  • Respond promptly and efficiently to customer complaints and regulatory inquiries from FINRA, SEC, state regulators.
  • Interpret and apply legal and regulatory guidance to defense of cases. Requires superior judgment and aptitude for reading and interpreting relevant statutes and industry rules and regulations, as well as applicable case law. Familiarity with securities brokerage or financial industry arbitrations, regulation and compliance a strong plus.
  • Report and log all relevant case-related data into the company’s case tracking system on a timely, accurate and consistent basis. Be able to promptly summarize and report on matters for management review and consideration.
  • Advise internal departments about risk areas and provide legal guidance regarding firm policies and procedures.
  • Adapt quickly to stressful, changing environments and independently manage litigation caseload assignments and deadlines, as well as other assignments and responsibilities, cases and matters.
  • Handle internal and external client and law firm contacts and communications in a timely, expeditious, professional, courteous, and confidential manner.


  • Juris Doctorate degree from an ABA-accredited law school required
  • Licensed member of the bar, in good standing, in the state in which the attorney is located
  • Minimum of 6+ years of securities arbitration or litigation experience, with primary responsibility or “first chair” experience for at least two to three years
  • Proficient computer knowledge in Microsoft Office suite applications, including Excel, Word, PowerPoint
  • Strong dispute resolution negotiation skills
  • Proven ability to multi-task in a focused, organized manner and meet all administrative deadlines in fast-paced, high pressure, time sensitive situations
  • Excellent oral, written and video communication skills
  • Ability to travel and work on hearings, trials and arbitrations around the United States as needed, sometimes on short notice

About CLR

The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

Why LPL? 

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.

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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 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 (800) 877-7210.

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