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SVP, Associate General Counsel

Job ID: R-004610 Date posted: 10/08/2018 Primary Location SC-Fort Mill Other Locations CA-San Diego

The Senior Vice President, Associate General Counsel will assist other attorneys in the department and senior members of the business, including the Deputy 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 institutional channel business.

This role will report to a Senior Vice President, Associate General Counsel within the Legal Department’s Advice, Litigation and Contracts group and will support broker-dealer, institutional services with financial institutions and product matters in particular.  The role will require frequent interaction with the company’s business teams that support the distribution and sale of a wide variety of financial products.  Job responsibilities will include:

Essential Functions:

  • Leading team responsible for maintaining and negotiating required contracts with third party financial institutions in support of institution services business.
  • Draft agreements, disclosure documents and other forms for use with retail clients and financial advisors.
  • Maintenance of LPL’s brokerage and custodial platforms and documents related to those platforms.
  • Participation on projects related to new business development, including emerging strategic company initiatives and ongoing valued business lines such as the institutional channel.
  • Provision of legal advice in support of various company offerings including cash sweep, collateral lending and securities backed line of credit programs.
  • Management and reporting on behalf of other attorney’s in the group.

Qualifications:

  • Bachelor’s Degree and J.D. required
  • 10+ years corporate legal experience, preferably in a financial services complex or a law firm working with corporate clients
  • Experience as an attorney working with the Securities Exchange Act, Investment Advisers Act, rules and regulations of self-regulatory organizations and basic corporate law principles
  • Knowledge of multiple products and asset types strongly preferred
  • Strong writing and organizational skills
  • Should have excellent interpersonal skills and ability to interact with members of senior management and clients 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 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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