VP, Assistant General Counsel

6-7 yrs required

Full-time

No

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.



H1: Vice President, Assistant General Counsel at LPL Financial
H2: Job Overview

The Vice President, Assistant General Counsel at LPL Financial is responsible for handling a variety of legal matters, primarily focused on responding to investor complaints, collaborating on regulatory inquiries, and resolving customer complaints before they escalate. This role requires strong judgment, attention to detail, and the ability to work collaboratively with various business units within the company.

H2: Essential Functions

- 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 as appropriate
- Adapt quickly to changing environments and 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, some committee responsibilities, and converse on matters related to litigation

H2: Job Qualifications

- Juris Doctor degree required, barred in state of practice
- Minimum of 6-7 years experience working in-house at a broker/dealer, securities related regulatory entity, or 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
- Position located in Fort Mill, South Carolina or San Diego, California

H2: 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 includes 401K matching, health benefits, employee stock options, paid time off, and more.

H2: About LPL

LPL Financial is the nation's leading independent broker-dealer, offering an integrated platform of proprietary technology, brokerage, and investment advisor services. The company provides a supportive and responsive leadership team, a work environment that encourages creativity and growth, and unlimited potential for career advancement.

None mentioned

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

None mentioned

Legal advising, risk assessment, dispute resolution, regulatory compliance, litigation management, team management, negotiation, research, writing, organizational skills, investment products, asset types, interpersonal skills, leadership, workplace equality, community involvement, social responsibility

Juris Doctor degree

Apply through job posting on company website

Qualification and Experience Juris Doctor degree, barred in state of practice, 6-7 years experience in-house or at a law firm, exposure to litigation practices and procedures, team management experience preferred

Legal