AVP, CounselApply Job ID: R-013346 Date posted: 03/30/2021 Primary Location CA-San Diego Other Locations MA-Boston , SC-Fort Mill , CA-Remote
LPL Financial is seeking an experienced and energetic Attorney to join our Litigation and Arbitration team. This position will be responsible for providing a broad range of in-house legal services and advice, with a primary focus on defending the firm and its Financial Professionals in FINRA arbitrations and litigation matters, whether through trials, hearings, mediations or direct settlement negotiations. This position will also manage a docket of cases handled by outside counsel.
Would you like to work on interesting litigation and arbitration matters both individually and as part of a team that collaborates and leverages its common knowledge and experience in order to enhance and grow your capabilities, while helping you achieve great results?
Are you energized by defending important legal disputes in a litigation or arbitration setting?
Have you used your organizational, strategic, tactical and communications skills to try cases as second or first chair, or negotiated favorable resolutions of financial services disputes?
Excited to learn more? If so, then this could be the role for you!
The Litigation and Arbitration team is actively seeking an effective, efficient, pragmatic attorney who works well with others, and is passionate about defending cases in arbitration and litigation, or negotiating favorable resolutions. The ideal candidate will be able to thoughtfully consider legal issues and use good judgment to reach practical results, while ensuring that time-critical deadlines are consistently met.
What will you do?
• Defend litigation and arbitration matters brought against the firm and its Financial Professionals. Evaluate legal and regulatory risk and exposure, control own calendar, draft pleadings, argue motions, manage discovery, and handle settlement negotiations and/or the trial or arbitration hearing. Work and communicate in a timely, effective manner with our in-house team of attorneys, paralegals and assistants, as well as outside counsel.
• Interpret and apply legal and regulatory guidance to defense of cases. Requires superior judgment and aptitude for reading and interpreting relevant legal precedents, statutes and industry regulations. Familiarity with brokerage or financial industry regulation and compliance a strong plus.
• Report and log all relevant case-related data into the company’s case tracking system on a timely, accurate and consistent basis. Be able to promptly summarize and report on matters for management review and consideration.
• Adapt quickly to dynamic environments and independently manage multiple litigation and arbitration caseload assignments and deadlines, plus other assignments, cases and projects within the team.
• Advise our internal business partners about risk areas and provide legal guidance regarding firm policies and procedures.
• Monitor insurance status of claims and participate in claims meetings and negotiations where applicable.
• Handle internal and external client and outside counsel contacts in a timely, professional, courteous, and confidential manner.
Please note: Additional responsibilities or duties may be assigned to you as needed or determined.
What does your success look like in the first 90 days?
In your first 90 days, your success will start by learning the team’s policies, procedures and practices, seeking guidance from team members through direct discussions and participation in team meetings, and taking on responsibility for case assignments.
What are we looking for?
We want strong collaborators who can deliver a world-class client experience. 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
What skills, experiences, and education are required?
• Juris Doctorate degree from an ABA-accredited law school.
• Licensed member in good standing of the state bar in which your LPL office is located (either California, Massachusetts, South Carolina or Texas) or a willingness and ability to become promptly licensed in such jurisdiction.
• At least 2 to 5 years of arbitration/litigation experience, preferably serving the financial services industry in the broker-dealer and investment advisory field.
• Clear, effective and efficient communication abilities, including video presentations, and excellent writing skills, with a demonstrated ability to work well with other people.
• Strong strategic, tactical, organizational and dispute resolution negotiation skills with a proven ability to multi-task and prioritize work in a fast-paced, high pressure environment.
• Ability to travel and work on legal proceedings as needed, sometimes on short notice.
• Proficient computer knowledge in Microsoft Office suite applications, including Word, Excel, PowerPoint and other litigation-related systems.
The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.
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 @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.