SVP, Associate General Counsel – Broker-Dealer Regulatory Compliance

Responsibilities

• Provide day-to-day legal support for LPL’s financial services business, including legal analysis and advice related to compliance with applicable rules, regulations, and legal risks impacting brokerage and investment advisory activities
• Review, revise, and develop internal policies and procedures in response to business initiatives and regulatory developments
• Conduct legal research and draft memoranda related to compliance with applicable laws, rules, and regulations
• Collaborate with members of the Legal Department and business units, including Supervision, Compliance, and Risk
• Manage a team of experienced attorneys aligned to LPL’s brokerage and control-based business lines
• Provide strategic counsel on M&A transactions and regulatory approval processes
• Advises on due diligence standards and establish protocols for the onboarding and distribution of alternative investments

Requirements

• Recognized as a trusted advisor by senior leaders in complex, highly regulated environments
• Expertise in the regulatory framework governing broker-dealers and investment advisers, including SEC and FINRA oversight
• Working knowledge of federal securities laws, the rulemaking process, regulatory notices, interpretive guidance, and agency interpretations
• Demonstrated ability to lead and develop high-performing teams of attorneys, setting direction, elevating talent, and building a best-in-class legal function aligned to business growth

Core Competencies

• Strategic judgment
• Executive presence
• Influence without authority
• Commercial mindset
• Talent leadership

Preferences

• Experience drafting, filing, and managing continuing membership applications with FINRA
• Demonstrated success representing financial services firms in enforcement proceedings, federal and state court matters, SRO arbitrations, and administrative proceedings
• Working knowledge of alternative investments, including hedge funds, venture capital funds, private equity funds, public non-traded products, business development companies, and private placements

Success in the First 12–18 Months

• Strengthening legal support for broker-dealer growth initiatives
• Enhancing regulatory strategy for complex product offerings
• Building a highly engaged, high-performing legal team

Pay Range

$213,313.00 - $355,453.00

Schedule

Full-time

Benefits

LPL offers a comprehensive benefits package including:

• 401(k) matching
• Health benefits
• Employee stock options
• Paid time off
• Volunteer time off

Company Overview

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6), LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans.