Job Details

Svp, Associate Counsel, Regulatory Enforcement

Company name

LPL Financial

Organization Type


Job Type


Years of Experience

Min 10 yrs required


Fort Mill, SC

Date Last Verified

Feb 16,2018

Posted on

Jan 06,2018
Practice Area
Corporate >> Corporate - Securities and Capital Markets
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SVP, Associate Counsel, Regulatory Enforcement The candidate will manage Regulatory Enforcement attorneys and handle high profile investigations with the support of one or more Regulatory Enforcement analysts under the attorney’s supervision. On occasion, coordination and management of outside counsel is required. Rendering related legal advice and counsel to the Firm and various business units relating to the application of federal, state and SRO rules and regulations. Manage and defend regulatory enforcement matters involving the Firm and/or its associated persons. Evaluate legal and regulatory risk and exposure, coordinate and prepare written responses and productions, communicate with regulators as to scope and content of productions and responses, and defend witnesses at testimony and during informal interviews. Manage Regulatory Enforcement attorneys and analysts. Provide timely risk assessments and status updates of regulatory matters for executive management. Advise internal departments about risk areas and provide legal guidance regarding Firm procedures and regulatory requirements. Serve as the Legal Department’s representative to standing and ad hoc Firm committees and task forces. Attend industry events and educational seminars focusing on regulatory developments and initiatives; maintain current practice knowledge through monitoring of industry related periodicals and other publications. Must have Juris Doctor degree and licensed member of the bar, in good standing, in the state in which the attorney is located. Should have 10+ years of securities regulatory experience. Prior employment with a federal, state or SRO securities regulator is desired.

Additional info

Job ID: R-000043

Company info

Hiring Coordinator
LPL Financial
1055 LPL Way
Fort Mill, SC 29715

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