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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at
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VP, Assistant Counsel, Corporate Law

Job ID: R-008275 Date posted: 12/29/2020 Primary Location CA-San Diego Other Locations TX-Austin , MA-Boston , SC-Fort Mill

The VP, Assistant Counsel (Corporate Law) will engage in a broad range of general corporate and securities-related work in support of LPL Financial’s strategic transactions, commercial relationships and obligations as a public company.  The position reports to the Senior Vice President, Associate Counsel within the Corporate Law group of LPL’s Compliance, Legal and Risk Department.   This attorney will interface daily with in-house colleagues and business executives in the context of providing legal advice. 

The attorney will advise in connection with a range of general business matters, including M&A transactions, commercial agreements, Exchange Act reporting and corporate governance matters.   In particular, the position will provide legal advice in support of:

  • Merger and acquisition opportunities
  • Advisor practice acquisition and succession planning
  • Drafting and negotiation of a range of commercial agreements
  • Debt financings
  • Investor relations and corporate communications
  • Board of directors and committee matters
  • Annual, quarterly and periodic reports filed with the Securities and Exchange Commission
  • Executive and non-executive compensation matters, including agreements, disclosures and employee communications related to equity-based incentive plans

We are seeking a lawyer with five+ years of transactional experience in the context of the financial services industry.


  • JD from a nationally recognized law school
  • Experience working for a large law firm
  • Transactional experience – M&A and/or financing transactions
  • Familiarity with securities laws and regulations, including Exchange Act reporting requirements
  • Experience counseling public companies with regard to public company reporting and corporate governance matters
  • Strong organizational and project management skills, including the ability to handle multiple negotiations and manage deadlines in a fast-paced and demanding work environment
  • Excellent drafting, negotiating, and communication skills
  • Ability to interface well with business executives in real-time to problem-solve and provide independent judgment

About CLR

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

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

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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 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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