Vice President, Assistant General Counsel-Trading and OperationsApply Job ID: R-022527 Date posted: 05/19/2022 Primary Location SC-Fort Mill Other Locations CA-Remote , CA-San Diego
Are you interested in the most dynamic areas of securities regulation? Payment for order flow, best execution, consolidated audit trail, on-line customer access, secured lending, senior investor protection, and financial protection rules?
Do you have a successful track record in trading, operational issues, lending, and senior investor protection?
Are you passionate about providing great legal advice, adding value, empowering others, and problem solving?
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.
This Attorney will provide advice on to trading, operations, senior investor protection, and compliance departments on a wide range of issues. Negotiate and draft agreements and disclosures for LPL’s advisory and brokerage business.
Provide guidance to:
Equity, fixed income and other desks on issues arising in the life-cycle of a trade
Operations on requirements for customer reserve, margin lending, and disclosures in statements, confirms and other documents
A range of departments on issues impacting senior investors and vulnerable adults
What are we looking for?
We want strong collaborators who can deliver a world-class legal advice. 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.
7 years or more of experience in dealing with issues arising under the Securities Exchange Act, Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA rules and regulations as well as related federal and state securities laws.
Ability to interface effectively with senior leadership at LPL, advisors, clients and their counsel.
Experience in negotiating and drafting agreements, client communications and other disclosure documents.
Understanding of current regulatory requirements and likely developments.
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 @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.