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SVP, Associate Counsel, Regulatory Enforcement

Job ID: R-005381 Date posted: 12/17/2018 Primary Location SC-Fort Mill Other Locations CA-San Diego

At LPL Financial, we are currently looking for an SVP, Associate Counsel to join our Regulatory Inquiries & Strategy team, which sits within our Compliance, Legal, and Risk (CLR) function.

The Regulatory Inquiries & Strategy staff is primarily responsible for managing enforcement and complex for-cause matters with federal, state securities regulators, and self-regulatory organizations (e.g., FINRA).  In practice, this means serving as the principal point of contact in connection with enforcement and for cause investigations of the Firm and its associated persons. 

The successful candidate will manage Regulatory Inquiries & Strategy staff and handle high profile investigations with the support of one or more analysts under the attorney’s supervision. On occasion, coordination and management of outside counsel is required. Additional responsibilities will include rendering related legal advice and counsel to the Firm and various business units relating to the application of federal, state and SRO rules and regulations. 

Essential Functions:

  • Manage and defend regulatory enforcement matters involving the Firm and/or its associated persons. 
  • Evaluate legal and regulatory risk and exposure, coordinate and prepare written responses and productions, communicate with regulators as to scope and content of productions and responses, and defend witnesses at testimony and during informal interviews.
  • Manage Regulatory Inquiries & Strategy attorneys and analysts.
  • Provide timely risk assessments and status updates of regulatory matters for executive management.
  • Advise internal departments about risk areas and provide legal guidance regarding Firm procedures and regulatory requirements.
  • Serve as the Legal Department’s representative to standing and ad hoc Firm committees and task forces.
  • Attend industry events and educational seminars focusing on regulatory developments and initiatives; maintain current practice knowledge through monitoring of industry related periodicals and other publications.

Qualifications:

  • Juris Doctor degree required
  • Licensed member of the bar, in good standing, in the state in which the attorney is located
  • Minimum of 10 years of securities regulatory experience; prior employment with a federal, state or SRO securities regulator is highly desirable
  • Proven as a strong advocate and solution oriented partner with the ability to collaborate and multi-task
  • Clear communication and superior writing and analytical skills
  • Ability to travel 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