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VP, Corporate Law

Job ID: R-008275 Date posted: 12/03/2019 Primary Location CA-San Diego

The VP, Associate 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 three to 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 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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