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VP, Associate Counsel

Job ID: R-003362 Date posted: 06/06/2018 Primary Location SC-Fort Mill Other Locations CA-San Diego

The Vice President, Assistant General Counsel in the firm’s Early Dispute Resolution (EDR) group is responsible for a broad range of in-house legal services, with primary focus on responding to investor complaints, including both sales practice and operational complaints, regulatory inquiries and defending the firm and its advisors in litigation.  Responsibilities also include rendering legal advice and counsel to the company and business units while working to achieve equitable resolution of claims. 

This role will report to a Senior Vice President, Associate General Counsel within the Advice, Litigation and Regulatory group of the firm’s Compliance, Legal and Risk Department.  The role will require frequent interaction with the firm’s compliance, operations, and supervision teams. The successful candidate will have a business-oriented approach and mindset in developing and delivering legal solutions.  Additional responsibilities include assignment of operational complaints and managing the Operational Complaints Group within EDR. 

Essential Functions:

  • Possess superior judgment and aptitude for evaluating and addressing investor complaints in a timely and substantive manner, as well as ensuring compliance with all FINRA regulatory reporting requirements that relate to investor complaints.
  • Knowledge of brokerage account regulations and compliance.
  • Evaluate legal, financial, regulatory and reputational risk and escalate to senior management as needed. 
  • Coordinate with compliance, legal and risk partners and other business units.
  • Adapt quickly to changing environments and independently manage investor complaint case load assignments.
  • Handle client contact in a professional, courteous, and confidential manner.
  • Ability and versatility to handle other assignments, cases and matters within litigation.
  • Manage a team of attorneys, paralegals and legal support associates.

Job Qualifications:

  • Juris Doctor degree required
  • Admission in good standing to a State Bar
  • Minimum of five years’ experience working in-house at a broker/dealer, securities related regulatory entity, or a law firm, and preferably at least significant exposure to litigation practices and procedures
  • Experience managing a team of attorneys and legal staff is necessary
  • Excellent dispute negotiation skills
  • Strong research, writing and organizational skills
  • Experience with multiple investment products and asset types strongly preferred
  • Should have good interpersonal skills and ability to interact with members of senior management
  • The position will be located in either Fort Mill, South Carolina or San Diego, California

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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