AVP, Associate General Counsel

4-5 yrs required

Full-time

No

LPL Financial is a leader in the financial services industry, providing innovative financial solutions to individual and institutional clients. We are dedicated to providing trusted investment advice and exceptional service to our clients. As a company, we value honesty, integrity, and respect, and we strive to foster an inclusive and diverse workplace. Our employees are our greatest asset, and we are committed to helping them achieve their full potential. Join us and make a difference in the lives of others.


AVP, Associate General Counsel - Full Time - R-035546

Job Overview:
- Dedicated to managing complex regulatory matters with federal and state securities regulators
- Serve as the principal point of contact for enforcement and for-cause regulatory inquiries
- Work with a team of lawyers and analysts to manage a variety of regulatory inquiries

Responsibilities:
- Represent the Firm and/or its associated persons on complex regulatory matters
- Coordinate with Regulatory Advice attorneys when counseling the Firm and various business units
- Partner with investigations teams and investigative counsel to provide advice and guidance
- Coordinate with the Litigation Group and other groups in the Legal, Compliance, and Risk departments
- Attend industry events and educational seminars to stay informed on regulatory developments

Requirements:
- Juris Doctor Degree and licensed member of any bar, in good standing
- 4-5 years of securities regulatory enforcement experience at a law firm or with a federal, state, or SRO securities regulator
- Knowledge of the Securities Exchange Act of 1934, Investment Advisers Act of 1940, and basic corporate law principles

Core Competencies:
- Ability to multi-task and strong communication, writing, and analytical skills
- Willingness to travel as needed

Pay Range: $137,520-$206,280/year

Actual base salary varies based on factors such as relevant skill, prior experience, education, and geographic location. LPL offers a competitive Total Rewards package including 401K matching, health benefits, employee stock options, and more.

Why LPL?
- We believe that objective financial guidance is a fundamental need for everyone
- We offer an integrated platform of proprietary technology, brokerage, and investment advisor services
- Our work environment encourages creativity and growth, with a supportive and responsive leadership team
- We are committed to supporting workplace equality and embracing diversity and inclusion
- We value social responsibility and encourage employees to give back to their communities

Interview Process:
- LPL will only communicate with job applicants 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 or bank/credit card information from the applicant
- For questions about the application process, contact LPL's Human Resources Solutions Center at

Join the LPL team and make a difference in the lives of others while achieving your full potential. Principals only. EOE.

Not specified

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

Not specified

Legal research, communication, negotiation, litigation, counseling, risk assessment, regulatory compliance

Juris Doctor Degree

Log in or create an account to apply for the position through the company's website.

Qualification and Experience Juris Doctor Degree, licensed member of any bar, 4-5 years of securities regulatory enforcement experience

Legal