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VP, Associate Counsel

Job ID: R-001421 Date posted: 12/29/2017 Primary Location CA-San Diego

The Vice President, Associate Counsel will assist other attorneys in the department, including senior attorneys, the Associate 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 company’s brokerage offerings.

This role will report to a Vice President, Assistant 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 assistance with:

  • Contractual matters
  • Work with various business units within the company to negotiate contracts with third party financial institutions, product sponsors, vendors and other third parties,
  • 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
  • Projects related to new business development, including institutional channel  initiatives
  • Legal analysis of compliance issues affecting the company as a broker-dealer and registered investment advisor
  • Development of compliance policies related to new and changing regulations affecting the company’s service offerings


  • Must have Bachelors Degree, J.D., and be admitted to practice in CA
  • Minimum of five 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 of 1934, 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 good interpersonal skills and ability to interact with members of senior management as well as adaptability and willingness to take on a wide variety of new tasks
  • Must be willing to travel on occasion as needed

We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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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