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VP, Associate Counsel

Job ID: R-002246 Date posted: 02/15/2018 Primary Location CA-San Diego Other Locations SC-Fort Mill

The Vice President, Assistant General Counsel will assist other attorneys in the department, including senior attorneys, Deputy General Counsel and Chief Legal and Risk Officer, with the provision of legal advice in a wide variety of areas related to the company’s broker-dealer business.

This role will report to a Vice President, Assistant General Counsel within the Advice, Litigation and Contracts group of the firm’s Compliance, Legal and Risk Department. The role will require frequent interaction with the company’s compliance, operations and business development teams. The successful candidate will have a business-oriented approach and mindset in developing and delivering legal solutions.

Essential Functions:

  • Analyze compliance, litigation and business risks affecting the company as a broker-dealer and registered investment advisor
  • Provide guidance on development of policies related to new and changing regulations affecting the company’s service offerings
  • Deliver quality legal advice to internal partners and senior management on general broker-dealer issues, including both sales practice and financial/operations matters
  • Serve as counsel to standing and ad hoc firm committees and working groups
  • Manage relationships with outside counsel


  • Juris Doctor degree required
  • Admission to the State Bar of California or eligibility to practice in the State as Registered In-house Counsel
  • Minimum of five years’ experience working at a regulatory entity, law firm, or in-house
  • Experience with the Securities Exchange Act of 1934, rules and regulations of self-regulatory organizations and basic corporate law principles
  • Experience with multiple products and asset types strongly preferred
  • Knowledge of the Investment Advisers Act of 1940 a plus, but not required
  • Strong research, 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 in a fast-paced environment
  • Must be willing to travel on occasion as needed.

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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