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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 LPLFinancialHiring@lpl.com.
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VP, Associate Counsel

Job ID: R-011241 Date posted: 09/17/2020 Primary Location MA-Boston Other Locations SC-Fort Mill

This Vice President position sits within the Advice group of the Compliance, Legal and Risk department (CLR) and supports the organization in providing legal advice to the company regarding cybersecurity, privacy, technology and vendor management risk.  This Vice President position will report to the Chief Privacy Officer, Associate General Counsel, and SVP.  This role will be the principal subject matter expert and Legal point person on technology projects and related risk management issues.  This individual may represent the company at industry events, regulatory meetings, and may also present from time to time senior executive committees and financial professional meetings.

Essential Functions:

  • Legal analysis of the application of federal and state laws and regulations as applied to the company’s technology initiatives
  • Drafting and negotiating provisions for a wide variety of contracts for products and services related to vendor, privacy and cybersecurity risks
  • Proactive identification of compliance and regulatory issues affecting the company's compliance with laws and regulations as they relate to technology projects and practical advice on resolving issues
  • Partner with colleagues across CLR, Technology, and Product Development to help drive a culture of risk awareness and proactive risk identification and assessment across the firm
  • Improve and implement contract workflow process
  • Develop positive cross-departmental working relationships to maintain an open environment for collaboration, risk identification, and remediation
  • Interact with the CLR Senior Management Team and government agencies and industry associations to include but not limited to SEC and FINRA

Qualifications:

  • Must have Bachelor's Degree, J.D., and be admitted to practice
  • [5 + years] Experience working for a large law firm or in-house in either the financial services or technology/software industry.
  • Ideally the attorney will be well-versed in technology and customer licensing as well as adept in privacy, risk and regulatory issues.
  • Creative thinker with a strong work ethic comfortable working independently with minimal supervision and administrative support.
  • Strong writing and organizational skills
  • Ability to engage in complex legal analyses 
  • Ability to balance and prioritize varying demands and a high volume of contracts and projects and manage deadlines in a fast-paced and demanding work environment
  • Strong process orientation to manage contract workflow
  • Strong problem solving and project management skills
  • Ability to forge solid relationships with project team members
  • Ability to collaborate and move projects forward
  • Management experience
  • Experienced in interaction with regulators
  • Ability to present to financial professionals
  • Must be willing to travel on occasion as needed

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.

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 @lpl.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 (800) 877-7210.

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