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AVP, Associate Counsel

Job ID: R-008635 Date posted: 02/12/2020 Primary Location CA-San Diego Other Locations MA-Boston , SC-Fort Mill

The Associate Vice President, Associate Counsel will assist other attorneys in the department, including senior attorneys, the Associate General Counsel and the Chief Legal Officer, with the provision of legal advice in multiple areas of the company’s business, but with a focus on the company’s brokerage offerings.

This role will report to a Senior Vice President, Associate Counsel within the Legal Department’s Advice, Litigation and Regulatory group and will support LPL’s Institution Services business-facing advice and contracts team, with a focus on the Institution Services channel, through which LPL provides brokerage and advisory products and services on the premises of banks and credit unions across the country.  As the leading provider of such third party investment program services in the country, LPL is focused on providing material value to our partner institutions, and our compliance, legal and regulatory efforts are part of that value.  This role will be the primary support for the contractual efforts of LPL with its financial institutions, and, importantly, serves as an important contact point for legal and compliance professionals within those organizations.  A keen legal and risk awareness is critical for this role, as is an attitude of collaboration with our business colleagues and clients.  In addition to the Institution Services channel, this attorney will also provide regulatory support to the firm on variety of business initiatives.   

LPL is looking for attorneys with strong foundational legal skills and a desire to provide excellent service to our business and our firm’s financial advisors and investors.   

Job responsibilities will include assistance with:

  • Contractual matters
  • Work with various business units within the company to negotiate contracts with third party financial institutions, LPL financial advisors, and other third parties
  • Draft agreements, disclosure documents and other forms for use with retail clients and financial advisors
  • Projects related to new business development, including Institution Services channel initiatives
  • Legal analysis of compliance issues affecting the company as a broker-dealer and registered investment advisor
  • Development of compliance policies related to new and changing regulations affecting the company’s service offerings

Requirements:

  • Collaborative and positive attitude. 
  • 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 three years corporate legal experience, preferably in a financial services complex or a law firm working with corporate clients.  Experience with financial services (banking, securities) is a strong plus.
  • Strong contract writing, negotiation and organizational skills are critical.
  • Must have good interpersonal skills and ability to interact with members of senior management 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 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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 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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