In-House
Fort Mill, SC
Corporate - Asset/Investment Management Attorney / Corporate - General Attorney / Corporate - Securities and Capital Markets Attorney in Fort Mill, SC
Attorney
Min 15 yrs required
No
Job Title:
SVP, Associate General Counsel
Job Responsibilities:
The Senior Vice President, Associate General Counsel is tasked with assisting other attorneys within the department and senior business members, including the Deputy General Counsel and the Chief Legal Officer. The role focuses on leading teams that provide legal advice across multiple areas of the company’s business, particularly in the Institution Services relationship business and the development and deployment of new services to advisors and institutions, as well as cash, banking, and lending products. Key responsibilities include:
- Institution Services/Product Manufacturing: Lead a team responsible for maintaining and negotiating contracts with third-party financial institutions to support the institution services business, which supports over 1,100 financial institutions across the . This involves providing thought leadership on legal and regulatory issues impacting investment services at banks and credit unions, partnering with internal stakeholders on various issues, and managing complex contract negotiations and outside counsel when necessary.
- Product/Services: Lead a team that coordinates and provides legal advice on developing and deploying advisor-facing services and Banking and Lending Solutions for investor clients. This includes handling new products and services which require broad issue-spotting to consider potential impacts at various stages from pilot to national rollout. Within this area, responsibilities include advisor lending, margin, securities-backed lines of credit, cash management/sweeps, checking/debit services, and credit card services. Advisor-facing services involve strategic efforts to support LPL advisors' business practices.
Education and Experience Information:
Candidates must possess a Bachelor’s Degree and a Juris Doctor (.). The position requires over 15 years of corporate legal experience, ideally combining law firm transactional/regulatory practice with in-house work at a financial services complex, with a preference for experience in a wealth management organization. Candidates should have experience working with the Securities Exchange Act, Investment Advisers Act, rules and regulations of self-regulatory organizations, federal banking laws, and basic corporate law principles. Strong writing, organizational, and interpersonal skills are essential, along with the ability to interact with senior management and clients. Adaptability and willingness to take on various new tasks are important, and candidates must be willing to travel occasionally as needed.
Salary Information:
The pay range for this position is $207,075 to $345,125 per year. Actual base salary varies based on factors such as relevant skills, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. The company offers a competitive Total Rewards package designed to support success at work, home, and play, including 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.
Company Overview:
The company was founded on the principle of working for advisors and institutions, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at around 580 registered investment advisor firms nationwide. The company is committed to the advisor-mediated model and believes Americans deserve access to personalized financial guidance. The company offers independence to advisors and institution leaders, enabling them to choose the business model, services, and technology resources for running a thriving business. The company supports advisors and institutions, allowing them to manage client relationships effectively.
Join the company:
The company provides an innovative environment fostering creativity and growth, limitless career potential, and a unified mission of taking care of advisors so they can take care of their clients. The company is committed to equality, community focus, and offers a comprehensive Total Rewards package that includes unique benefits and perks to enhance life at work and home.
Information on Interviews:
The company will only communicate with job applicants directly from an official email address and will not conduct interviews online or in chatroom forums. During interviews, the company will not request payment from applicants or information regarding bank or credit card details. For questions regarding the application process, applicants are advised to contact the Human Resources Solutions Center.
May 21, 2025
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May 01, 2025
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