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VP, Associate Counsel

Job ID: R-007704 Date posted: 10/01/2019 Primary Location SC-Fort Mill Other Locations MA-Boston , CA-San Diego

The Vice President, Associate Counsel will assist other attorneys in the department, including senior attorneys, the Deputy General Counsel and the General Counsel, with the provision of legal advice in multiple areas of the company’s business, but with a focus on the company’s operations and trading functions.

This role will report to a Senior Vice President, Associate Counsel within the Legal Department’s Advice, Litigation and & Regulatory group and will require frequent interaction with the company’s business teams that support some of the most the critical functions of LPL’s business. 

Job responsibilities will include assistance with: 

  • Supporting the Service, Trading and Operations teams in resolving complex operations issues that arise in LPL’s home office and branch offices, including without limitation, issues relating to divorce, death, incapacity, trusts, estates, powers of attorney, account transfers, cash management, margins and new accounts.
  • Advising our business partners on procedures relating to operational issues, and supporting firm initiatives to strengthen and simplify operational processes.
  • Working actively with advisors, and sometimes clients and their attorneys, to resolve issues impacting the activities on investment accounts, which are typically time-sensitive and can receive heightened attention from firm leadership.
  • Supporting the SVP, Associate Counsel responsible for advising on LPL’s trading activities, including doing research and supporting regulatory developments in the trading arena, including trading of products such as equities, fixed income, mutual funds, UITs, annuities, alternative investments, and options, and processing and reporting requirements relating to the all products sold by LPL.
  • Providing legal analysis of compliance issues affecting the company as a broker-dealer and registered investment advisor
  • Working with Compliance to develop compliance policies related to new and changing regulations affecting the company’s service offerings

Requirements: 

  • Must have Bachelors Degree, and J.D.
  • Licensed member of the bar, in good standing, in the state in which the attorney is located
  • Minimum of five years legal experience, preferably in a financial services complex or a law firm working with financial services clients.  Experience in dispute resolution preferred.
  • Experience as an attorney working with the Securities Exchange Act of 1934, rules and regulations of FINRA and basic corporate law principles.
  • Knowledge of multiple products and asset types strongly preferred
  • Strong writing and organizational skills, including experience with contract negotiation
  • Should have good interpersonal skills and ability to interact with members of senior management and advisors, as well as adaptability and willingness to take on a wide variety of new tasks
  • Must be willing to travel on occasion as needed

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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  • Legal, Fort Mill, South Carolina, United StatesRemove
  • Legal, Boston, Massachusetts, United StatesRemove
  • Legal, San Diego, California, United StatesRemove