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Vice President, Assistant General Counsel

Job ID: R-022710 Date posted: 05/17/2022 Primary Location CA-San Diego Other Locations SC-Fort Mill

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

The Vice President, Assistant General Counsel on the legal advice team will report to a Senior Vice President responsible for providing strategic legal advice to various business units. This team focuses primarily on the LPL’s broker-dealer business but also provides support to the investment advisory business as well. This position entails advising LPL’s (1) Financial Crimes Compliance Unit; (2) Compliance Policy and Procedures development, management and implementation Unit; and (3) LPL’s Business Development Unit.

The ideal Attorney is one who can thrive in a fast paced business environment and can manage a substantial docket autonomously.  Relevant private practice experience is highly desired. Prior in-house counsel experience preferred but not required.  


  • Provide legal advice and support to business and compliance teams on issues related to sanctions, AML, anti-corruption laws and regulations promulgated by the Office of Foreign Assets Control (OFAC) / Treasury, USA PATRIOT Act, Bank Secrecy Act, U.S. Foreign Corrupt Practices Act (FCPA), etc.

  • Assist, and work with outside counsel as necessary, in representing the Firm before regulatory authorities in matters related to sanctions, AML, and anti-corruption legal issues

  • Liaise and coordinate within the Compliance Legal and Risk department and with key stakeholders across the Firm, to ensure appropriate execution of the Firm’s enterprise-wide financial crimes prevention program

  • Advise on the development and implementations of suspicious activity review, assessments and SARs filings

  • Counsel on development of regulatory compliance policies and procedures with respect to new and existing securities laws, rules and regulations

  • Counsel various business development teams with respect to proper manners of achieving new business initiatives; recruiting financial advisors and their practices; acquiring brokerage firms and registered investment advisers; and development of new affiliation models

What are we looking for?

We want strong collaboratorswho 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.


  • Juris Doctor (JD) degree with strong academic credentials

  • 5+ years of relevant experience, preferably at a large/complex financial institution, law firm, or government/regulatory body

  • Detailed understanding of the laws, rules, and regulations pertaining to sanctions, AML and anti-corruption (although, candidates with particularly strong expertise/experience in only one area will be considered)

  • Ability to understand and assess a wide variety of complex commercial transactions

  • Highly-motivated self-starter able to work independently while collaborating and coordinating as part of a global program

  • Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment

  • Exceptional written and verbal communications skills, attention to detail, and effective time management

  • Sound judgment and an ability to appropriately escalate issues internally

  • Proven ability to handle highly confidential information professionally and with appropriate discretion

  • Proficiency with MS Word, Excel, PowerPoint, and Outlook

Why LPL? 

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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 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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