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VP, Associate General Counsel-Technology Advice

Job ID: R-006479 Date posted: 04/10/2019 Primary Location MA-Boston Other Locations SC-Fort Mill

The Vice President, Associate General Counsel 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 technology risk, cybersecurity and privacy.  This Vice President position will report to the Associate General Counsel and SVP of Advice, Retirement, State and Privacy.  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 at company board, committee 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 contractual provisions 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
  • 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 of career focus on legal advice on securities laws and regulations, risk management, and/or financial services compliance
  • Strong writing and organizational skills
  • Ability to engage in complex legal analyses 
  • Strong problem solving skills
  • Ability to forge solid relationships with project team members
  • Project management
  • Ability to collaborate and move projects forward
  • Effective change management
  • Experienced in interaction with regulators
  • Ability to present to financial professionals
  • 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