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AVP, Associate Counsel, Litigation Counseling

Job ID: R-008089 Date posted: 11/05/2019 Primary Location SC-Fort Mill Other Locations MA-Boston , CA-San Diego
The Assistant Vice President – Litigation Counseling attorney will be located in one of our locations and have several key responsibilities.  S/he will primarily be responsible for learning about and counseling Business Units on a wide variety of issues.  S/he will also be expected to identify, escalate, and mitigate business and litigation risks to the firm.  S/he will report to and work closely with the Senior Vice President of Litigation Counseling.

Specific responsibilities include:

  • Counsel the business and Financial Advisors about best practices, and potential and actual disputes with other entities;  
  • Collaborate and provide learnings to the business, and internally within the Legal Department;
  • Assist in the creation of policies and procedures to help institutionalize legal knowledge and strategy in order to further support the business and Legal Department;
  • Create trend reports about issues and questions being addressed;
  • Strategize and develop successful options for the Firm to enable business initiatives;
  • Engage in pre-litigation and litigation to collect amounts or resolve controversies related to entities owing funds to LPL;
  • Augment relationships with other company departments;
  • Collaborate within the Legal Department to provide a litigation and strategy perspective and enhance the Department service offer;
  • Special projects, including participation on committees or departmental or group initiatives;
  • Assist in standardization of team work processes and policies, procedures and protocols, especially regarding protocols with regulatory intersections;
  • Monitor and improve LPL’s Outside Counsel Call Program and interact with Recruiting to inform the business regarding industry issues and best practices;
  • Risk review press-releases pertaining to the business and LPL Financial Advisors;


  • One to five years of work experience as an attorney;
  • Comfort with questions coming from within and outside of the Firm;
  • Flexibility to respond quickly and positively to shifting demands and opportunities. Able to effectively work under tight deadlines and handle multiple, detailed tasks;
  • Ability to anticipate problems and issues and exercise independent judgment to make sound, justifiable decisions while knowing when and to whom to escalate issues;
  • Must be team-oriented and able to share information, goals, opportunities, successes and failures with the appropriate parties.  Able to influence at all levels of the organization;
  • Litigation experience preferred (in-house and/or law firm);
  • Robust analytical and relationship skills involving business units or corporate clients;
  • Demonstrated ability to develop, standardize, and manage work processes and protocols;
  • Demonstration of accountability for project implementation and completion;
  • Securities industry and regulatory knowledge highly desired;
  • Strong MS Office skills including Word, Excel, PowerPoint, Outlook
  • Familiarity with iManage a plus;
  • Excellent oral and written communication skills and ability to interpret and communicate complex legal subject matters in clear and simple terms;
  • Strong organizational skills and experience with report generation tools and data analysis;

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

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

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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