AVP, Associate General Counsel

4-5 yrs required

Full-time

No

Role: AVP, Associate General Counsel
Location: Fort Mill/Charlotte, Boston, MA, San Diego, CA
Time Type: Full Time
Salary: $137,520-$206,280/year
Job Requisition ID: R-035546

Job Overview:

The AVP, Associate General Counsel will be responsible for managing complex regulatory matters with federal and state securities regulators as well as self-regulatory organizations. This includes serving as the principal point of contact for enforcement and regulatory inquiries of the firm and its associated persons. The role will report to the Head of Regulatory Enforcement and will work closely with a team of lawyers and analysts.

Responsibilities:

- Represent the firm and/or its associated persons on complex regulatory matters, including evaluating legal and regulatory risk, drafting written responses, negotiating productions with regulators, and defending witnesses during testimony and interviews.
- Coordinate with regulatory advice attorneys when counseling the firm and various business units on federal, state, and SRO rules and regulations.
- Partner with investigations teams and investigative counsel to provide advice and guidance.
- Collaborate with the litigation group and other departments on issues arising from regulatory inquiries and investigations.
- Attend industry events and educational seminars to stay current 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 prior employment with a federal, state, or SRO securities regulator.
- Familiarity with the Securities Exchange Act of 1934, Investment Advisers Act of 1940, and basic corporate law principles.

Core Competencies:

- Strong multitasking abilities.
- Excellent communication, writing, and analytical skills.
- Willingness to travel as needed.

Why LPL?

LPL Financial (Nasdaq: LPLA) was founded on the principle of working for the advisor, not the other way around. Today, we support over 18,000 financial advisors, 800 institution-based investment programs, and 450 independent RIA firms nationwide. We believe in the advisor-centered model and providing Americans with access to personalized financial guidance. At LPL, advisors have the freedom to choose their business model, services, and technology resources to run their perfect practice. We take care of our advisors, so they can take care of their clients.

Pay Range:

$137,520-$206,280/year. Actual base salary may vary based on factors such as relevant skills, experience, education, and geographic location. Additionally, LPL offers a competitive total rewards package including 401K matching, health benefits, employee stock options, paid time off, and more.

Join the LPL Team:

At LPL, we believe 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 a supportive and responsive leadership team, a creative and growth-oriented work environment, and unlimited potential for career growth.

We are committed to workplace equality and embrace the diverse perspectives and backgrounds of our employees. We also encourage community involvement and social responsibility among our employees. This creates an environment where you can do your best work and make a real impact.

Interested in hearing from our employees? Watch this video.

We take social responsibility seriously. Learn more here.

Interested in our benefits? Learn more here.

Join the LPL team and help us make a difference in turning life's aspirations into financial realities. Apply now! (Note: Only local candidates will be considered for this role.)

Interview Information:

LPL will never conduct an online or chatroom interview or request payment or financial information from a job applicant. If you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at .

Not specified

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

Not specified

Team player, curious, analytical, communication, writing, multi-tasking, negotiation, counseling, leadership

Not specified

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Qualification and Experience Juris Doctor Degree, Licensed member of any bar in good standing

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