VP, Assistant General Counsel

6-7 yrs required

Full-time

No

H1: VP, Assistant General Counsel - Legal Services for Investor Complaints in Financial Firm
H2: Responsibilities and Qualifications for VP, Assistant General Counsel Role

The Vice President, Assistant General Counsel in the firm’s Early Dispute Resolution (EDR) group is responsible for a broad range of in-house legal services, with primary focus on responding to investor complaints. The role will report to a Senior Vice President, Associate General Counsel within the Advice, Litigation and Regulatory group of the firm’s Compliance, Legal and Risk Department. The successful candidate will have a business-oriented approach and mindset in developing and delivering legal solutions.

Responsibilities:
- Evaluate and address investor complaints in a timely and substantive manner
- Ensure compliance with all FINRA regulatory reporting requirements related to investor complaints
- Provide effective Regulatory Reporting of customer complaints
- Possess knowledge of brokerage account regulations and compliance
- Evaluate legal, financial, regulatory and reputational risk and escalate to senior management as needed
- Coordinate with compliance, legal and risk partners and other business units
- Independently manage significant investor complaint case load assignments
- Handle client contact in a professional, courteous, and confidential manner
- Work independently with minimal supervision
- Efficiently handle case assignments, committee responsibilities and converse on litigation matters

Qualifications:
- Juris Doctor degree required (barred in your state of practice)
- 6-7 years experience working in-house at a broker/dealer, securities related regulatory entity, or a law firm
- Preferably significant exposure to litigation practices and procedures
- Experience managing a team of attorneys and legal staff is a plus
- Excellent negotiation and dispute resolution skills
- Strong research, writing and organizational skills
- Experience with multiple investment products and asset types strongly preferred
- Excellent interpersonal skills and ability to interact with members of senior management
- Ability to work in either Fort Mill, South Carolina or San Diego, California

Salary Information:
- Pay range: $174,640-$261,960/year
- Actual base salary varies based on factors such as relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location.
- LPL Total Rewards package is highly competitive and includes benefits such as 401K matching, health benefits, employee stock options, paid time off, and more.

SEO Friendly Job Title: VP, Assistant General Counsel - Legal Services for Investor Complaints in Financial Firm

Bullet Points:
- Seeking a VP, Assistant General Counsel to handle in-house legal services for investor complaints in the Early Dispute Resolution (EDR) group
- Primary focus on responding to investor complaints, collaborating on regulatory inquiries, and resolving customer complaints before they escalate
- Reporting to a Senior Vice President, Associate General Counsel within the Advice, Litigation and Regulatory group of the firm’s Compliance, Legal and Risk Department
- Must possess superior judgment and ability to evaluate and address investor complaints in a timely and substantive manner
- Knowledge of brokerage account regulations and compliance required
- Experience with multiple investment products and asset types strongly preferred
- Juris Doctor degree and 6-7 years experience in-house at a broker/dealer, securities related regulatory entity, or law firm required
- Ability to work independently and handle significant case load assignments
- Salary range of $174,640-$261,960/year, with actual base salary varying based on relevant factors and geographic location

H1: VP, Assistant General Counsel - Legal Services for Investor Complaints in Financial Firm
H2: Responsibilities and Qualifications for VP, Assistant General Counsel Role

Bold Headlines:
- Handle Legal Services for Investor Complaints as VP, Assistant General Counsel in Financial Firm
- Primary Focus on Responding to Investor Complaints and Collaborating on Regulatory Inquiries
- Superior Judgment and Ability to Evaluate and Address Complaints in a Timely Manner Required
- Must be Knowledgeable in Brokerage Account Regulations and Compliance
- Juris Doctor Degree and 6-7 Years Experience in-house at a Broker/Dealer or Law Firm Required
- Salary Range of $174,640-$261,960/Year for this High-Level Legal Role

Not specified.

401K matching, health benefits, employee stock options, paid time off, volunteer time off

Not specified.

Legal Research, Negotiation, Dispute Resolution, Litigation Management, Team Management

Juris Doctor degree required.

Apply through the company website or through a recruiter.

Qualification and Experience Juris Doctor degree, barred in state of practice

Legal