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Vice President, Special Investigations Unit

Job ID: R-005716 Date posted: 02/11/2019 Primary Location CA-San Diego

At LPL Financial we are currently looking for a Vice President, Associate General Counsel to join our Special Investigations Unit (SIU), which is situated within LPL’s Legal Department.

The position will be located in San Diego, California. SIU works closely with the firm’s Regulatory, Litigation and Whistleblower groups.  The unit investigates matters involving potentially significant misconduct by financial advisors and employees, proactively identifies potential areas of exposure within the company, and provides advice to senior management and appropriate firm committees.

The successful candidate will have a deep understanding of broker dealer regulations and be responsible for conducting and coordinating investigations, providing investigative findings to the appropriate parties and leading a team of investigators and analysts.  Additional responsibilities include conducting presentations, interfacing with regulators, law enforcement officials, and other LPL departments.

Key Responsibilities Include:

  • Conduct, coordinate, and supervise significant internal investigations
  • Provide leadership to address key strategic initiatives and opportunities, working in collaboration with multiple functions and business channels. 
  • Act as a liaison with other LPL departments and coordinate investigative efforts with other units
  • Identify and recommend proactive fraud reduction measures to SIU management
  • Advancing and overseeing productivity and efficiency initiatives within the team
  • Reporting metric evaluations to oversight committees
  • Providing training to other LPL departments as needed

Qualifications:

  • The successful candidate will have substantial (10 years +) hands-on experience in a Special Investigations Unit (or equivalent) at a financial services firm, a federal or state law enforcement agency, a law firm, or industry regulator or equivalent, prosecuting or investigating matters involving fraud, theft, schemes to defraud, etc.
  • Deep understanding of the financial services regulatory framework, the rules and regulations particular to  broker dealers
  • Juris Doctorate degree required
  • Licensed member of the bar of any state in good standing
  • Excellent oral communication skills, including substantial experience in conducting interviews
  • Superior writing and analytical skills
  • Strong skills in MS Office; Excel, Access, Outlook, Word, PowerPoint, etc.
  • Ability to travel as needed
  • Series 7 and/or Series 24 a plus

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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  • Compliance, San Diego, California, United StatesRemove