Job Details

Senior Vice President Associate General Counsel Of Litigation And Arbitration

Company name

LPL Financial

Organization Type


Job Type


Date Last Verified

Nov 20,2018

Posted on

Jul 12,2018

Years of Experience

Min 15 yrs required


San Diego, CA
Practice Area
Litigation >> Litigation - General/Commercial
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Senior Vice President, Associate General Counsel of Litigation and Arbitration The candidate will report to the Executive Vice President (EVP) for Advice litigation and Regulatory Strategy in the Firm’s Compliance Legal and Risk Department. Supervise all activities of the Litigation/Arbitration group, the team of attorneys and paraprofessional staff who represent the Firm in all litigation and arbitration matters filed against, or commenced by, company and/or its affiliates or advisors. Will be responsible for reporting the group’s activities and productivity metrics to the EVP and firm management; identifying risk areas and gaps and escalating those issues to appropriate firm personnel; coordinating with colleagues in other company’s departments on cross-departmental initiatives; and reporting to and advising senior management of the firm. Specific Responsibilities Include: Manage a team of handling attorneys and staff located in Boston, San Diego and Fort Mill, South Carolina. Strategically manage and supervise the firm’s litigation and arbitration docket to ensure effective representation and optimal litigation results. Activities will include: attorney assignment and outside counsel selection; regular communication with handling attorneys and to maintain familiarity with docket and provide ongoing oversight and guidance on case strategy; case report evaluation and approval of all settlements; workload management for attorneys and paralegals; and regular reporting to firm management about claim activity and related exposures. Maintain and implement all Litigation/Arbitration policies and procedures. Maintain and implement supervisory controls to ensure the Group’s compliance with Litigation/Arbitration policies and procedures, Firm and Firm policies and procedures, and regulatory reporting obligations. Maintain and implement data controls to enable reporting on claims metrics; deliver reporting on metrics to senior management and firm risk oversight committees including in periodic formal presentations to management. Respond accurately to internal and external audit requests or requests for claims data. Serve as a liaison with other company’s departments and coordinate risk management efforts with other business units. Serve as liaison and point of contact with Finance on reporting of all claim exposures and receivables, and with all insurance providers with regard to coverage determinations, negotiations and indemnification requests. Proactively report to Firm management on policy recommendations arising out of Litigation/Arbitration case findings. Manage all hiring and talent management activities of the team.

Qualification and Experience

The candidate should have a J.D. degree and an undergraduate degree from accredited institutions of higher education as well as a state bar membership in good standing. California Bar membership or, alternatively, willingness to take the California Bar exam. Should have substantial experience (15 years +) as an attorney, including in a Litigation group at a financial services firm or law firm serving financial services clients. Management experience required. High level of familiarity with the many legal standards and regulatory schemes that apply to retail financial services (Broker-dealer experience and/or RIA experience preferred). Deep familiarity with and understanding of discovery rules, attorney-client privilege and work product privileges, and professional ethics, particularly as they apply to an in-house environment.

Additional info

Job ID: R-003425.

Company info

Hiring Coordinator
LPL Financial
9785 Towne Centre Drive
San Diego, CA 92121

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