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AVP, Associate Counsel

Job ID: R-002246 Date posted: 03/20/2019 Primary Location CA-San Diego Other Locations SC-Fort Mill

The Assistant Vice President, Associate General Counsel will assist other attorneys in the department, including senior attorneys, Deputy General Counsel and Chief Legal and Risk Officer, with the provision of legal advice in a wide variety of areas related to the company’s broker-dealer business.

This role will report to a Vice President, Associate General Counsel within the Advice, Litigation and Regulatory Strategy group of the firm’s Compliance, Legal and Risk Department. The role will require frequent interaction with the company’s compliance, AML, supervision and business development teams. The successful candidate will have a business-oriented approach and mindset in developing and delivering legal solutions. The candidate is expected to develop innovative solutions to complex regulatory compliance challenges affecting specific areas of the business and be able to perform independently within a reasonable time from date of hire.

Essential Functions:

  • Analyze compliance, litigation and business risks affecting the company as a broker-dealer and registered investment adviser.
  • Provide guidance on development of policies related to new and changing regulations affecting the company’s service offerings
  • Deliver quality legal advice supported by written memoranda of law to internal business units and senior management on general broker-dealer issues, including both sales practice and financial/AML matters
  • Serve as counsel to standing and ad hoc firm committees and working groups


  • Juris Doctor degree required
  • Admission to the State Bar of California or eligibility to practice in the State as Registered In-house Counsel required
  • Minimum of four years’ experience working at a regulatory organization, law firm, or serving in a similar in-house counsel role at a financial services firm
  • 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
  • Experience with multiple products and asset types strongly preferred
  • Knowledge of the BSA, USA PATRIOT Act and FinCEN rules and regulations a plus, but not required
  • Strong research, writing and organizational skills
  • Should 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 in a fast-paced environment and manage those project to completion.
  • 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, San Diego, California, United StatesRemove
  • Legal, Fort Mill, South Carolina, United StatesRemove