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Vice President, Assistant General Counsel-Regulatory Strategy

Job ID: R-022333 Date posted: 05/24/2022 Primary Location SC-Fort Mill Other Locations MA-Boston , CA-San Diego

Are you a team player? Are you curious to learn? Are you interested in working on meaningful Regulatory Enforcement cases? If so, LPL Financial is the place for you!

Excited to learn more? If so, then this could be the role 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 18,000 financial advisors, 800 institution-based investment programs and 450 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 team within LPL’s Legal department is dedicated to managing complex regulatory matters with federal and state securities regulators as well as self-regulatory organizations (e.g., FINRA). In practice, this means serving as the principal point of contact in connection with enforcement and for-cause regulatory inquiries of the Firm and its associated persons.

The Vice President, Assistant General Counsel will work with a team of lawyers and analysts to manage a variety of regulatory inquiries. Additional responsibilities include coordinating with investigative teams and Regulatory Advice attorneys when counseling the Firm and various business units. The Vice President will also coordinate with the Litigation Group in connection with regulatory matters concerning threatened or actual litigation. The role will report to a Senior Vice President within the Regulatory team.

Responsibilities:

  • Represent the Firm and/or its associated persons on complex regulatory matters involving the Firm and/or its associated persons. Responsibilities in this area include, among other things, evaluating legal and regulatory risk and exposure, drafting written responses and/or reviewing draft written responses prepared by analysts, negotiating productions with regulators, and defending witnesses at testimony and during informal interviews.

  • Coordinate with Regulatory Advice attorneys when counseling the Firm and various business units relating to federal, state and, SRO rules and regulations.

  • Partner with investigations teams and investigative counsel to provide advice and guidance. 

  • Coordinate with the Litigation Group and other groups in the Legal, Compliance, and Risk departments on issues arising out of regulatory inquiries and investigations that implicate threatened or actual litigation.

  • Attend industry events and educational seminars focusing on regulatory developments and initiatives; maintain current practice knowledge through monitoring of industry related periodicals and other publications.

Requirements:

  • Juris Doctor degree.

  • Licensed member of any bar, in good standing.

  • Minimum of 6 years of securities regulatory enforcement experience at a law firm; prior employment with a federal, state or SRO securities regulator is highly desirable. 

  • Experience with the Securities Exchange Act of 1934, Investment Advisers Act of 1940, rules and regulations of self-regulatory organizations and basic corporate law principles.

  • Knowledge of the BSA, USA PATRIOT Act and FinCEN rules and regulations a plus, but not required.

  • Proven ability to multi-task.

  • Superior communication, writing, and analytical skills.

  • Ability to travel as needed.

#LI-JY

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 @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 (800) 877-7210.

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