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VP, Assistant General Counsel - Retirement

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Job ID R-025159 Date posted 09/06/2022 Primary Location USA-Remote

Are you a team player with a growth mindset? Are you interested in working in 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!

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 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Retirement Attorney  

The Legal Department at LPL Financial is seeking an attorney to support our retirement and recordkeeping business.  The role, Vice President, Assistant General Counsel, will work with an experienced team of lawyers to provide pragmatic legal advice and thought leadership related to the company’s advisory, brokerage, custodian and recordkeeping business for retirement plans and retirement accounts.  The role will involve frequent interaction with the company’s business teams that support the firm’s retirement business, including operations, compliance, marketing, and platform development.


  • Advising on impacts of new and changing regulations affecting the retirement business of a broker-dealer, investment advisor, custodian and record keeper, in particular, rules under ERISA and the Internal Revenue Code

  • Legal analysis of compliance, regulatory and contractual issues affecting the company as a service provider to retirement plans and IRAs, including in particular:

    • ERISA, 403(b)/457(b) plans, 401(k) plans, SEP/SIMPLE IRAs, deferred contribution and small employer sponsored plans;

    • Implementing new retirement plan and participant level recordkeeping program capabilities

    • Advising on applicable Prohibited Transaction Exemptions in connection with program accounts for which LPL is an ERISA/IRA fiduciary

    • Supporting omnibus recordkeeping and sub-transfer agency relationships involving third party product sponsors and service providers

  • Assistance with maintenance of LPL’s retirement business in the context of the firm’s advisory and brokerage platforms

  • Work with various business units within the company to draft and negotiate contracts with retirement plan clients, retirement plan platform providers, product sponsors and service providers

  • Draft agreements, disclosure documents, communications and other forms for use with retail IRA and retirement plan clients

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement


  • JD from a nationally accredited law school; admitted to practice law, and in good standing, in at least one jurisdiction in the U.S.

  • 5-10 years of experience at a law firm or company in the financial services industry counseling on laws, rules and regulations impacting retirement plan and retirement accounts

  • Ideal candidate has significant expertise with ERISA and the Internal Revenue Code and knowledge relating to retirement plan and omnibus recordkeeping and related services  Experience with other fiduciary requirements, under the Investment Advisers Act or at the state level, is a plus

  • Strong organizational and project management skills, including the ability to handle multiple projects and manage deadlines in a fast-paced and demanding work environment

  • Excellent written and oral communication skills

  • 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

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 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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employees on what it's like to work at lpl?

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We take social responsibility seriously.

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Want to see info on our benefits?

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