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.

Equal Opportunity Employer

LPL is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected veteran status, or any other characteristic protected by law.