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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 LPLFinancialHiring@lplfinancial.com.
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VP, Sr. Investment Advisory Attorney (remote)

Job ID: R-020087 Date posted: 12/21/2021 Primary Location SC-Remote Other Locations CA-Remote

Are you a team player? Are you curious to learn? Are you interested in working on meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

Excited to learn more? If so, then this could be the role for you!  

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide.

The Vice President, Associate 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 with respect to compliance with state brokerage and investment advisory laws and regulations.   

This role will report to a Senior Vice President, Associate General Counsel within the Advice, Litigation and Contracts group of the Compliance, Legal and Risk Department and will provide legal advice related to the company’s advisory, brokerage and RIA custodian business.  The role will require frequent interaction with the company’s business teams that support the firm’s business lines, including compliance, government relations, marketing and operations.  Job responsibilities will include: 

  • Legal analysis of the application of state securities laws and regulations as applied to the company’s business lines
  • Monitoring of new state securities laws and regulations impacting the company’s business
  • Proactive identification of compliance and regulatory issues affecting the company’s compliance with state securities laws and regulations   
  • Advice on the implementation of new and changing state securities regulations related to the company’s business lines
  • Interaction with securities regulators, in particular, in the context of regulatory exams and inquiries
  • Advocacy efforts on state law issues, including interaction with industry trade groups

Requirements:

  • Must have Bachelor’s Degree, J.D., and be admitted to practice
  • Minimum of five years legal experience in a financial services complex or a law firm working for financial services companies
  • Focused experience with state securities laws and regulations
  • Knowledge of the Uniform Securities Act, Investment Advisers Act of 1940, the Securities Exchange Act of 1934, the rules and regulations of self-regulatory organizations, and basic corporate law principles
  • Knowledge preferred of state insurance laws
  • Experienced in interaction with regulators
  • Strong writing and organizational skills
  • Ability to engage in complex legal analyses 
  • 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
  • Ability to present to financial professionals
  • Must be willing to travel on occasion as needed

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

Want to see info on our benefits?  Learn more here

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 @lplfinancial.com 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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