Corporate - Asset/Investment Management Attorney in Arlington, VA

In-House

Arlington, VA

Corporate - Asset/Investment Management Attorney in Arlington, VA

Attorney

Min 10 yrs required

No

**MEMBERS ONLY**SIGN UP NOW***. is seeking an experienced attorney to join its corporate legal advice team as Senior Vice President, Associate General Counsel. This position is responsible for providing strategic legal advice to various business units within the company and will report to the Executive Vice President. The ideal candidate will have at least 10 years of experience within a law firm, specifically counseling the financial services industry in federal and state regulatory compliance, enforcement defense, and litigation. In-house experience within a top financial services firm will also be considered. This is a full-time position located in Boston, Arlington, VA, or New York, NY.

Responsibilities:

• Provide day-to-day legal support for LPL’s financial services business, including compliance analysis and advice
• Review and develop internal policies and procedures in response to business initiatives and regulatory developments
• Conduct legal research and draft memoranda on compliance with applicable laws and regulations
• Collaborate with other departments within LPL, such as Supervision, Compliance, and Risk
• Manage a team of attorneys focused on LPL's brokerage and control-based business lines
• Provide strategic counseling for M&A transactions and regulatory approval processes
• Counsel on due diligence standards and protocols for alternative investments

Requirements:

• 10+ years of experience dealing with securities laws and regulations
• Proven track record of representing financial services firms in enforcement proceedings, court cases, and arbitrations
• Strong legal writing and research skills
• In-depth understanding of federal securities laws and regulatory processes
• Familiarity with alternative investments and their regulatory landscape
• Experience with FINRA membership applications

Pay Range:

$207,075-$345,125/year (actual salary varies based on experience and location)

Company Overview:

**MEMBERS ONLY**SIGN UP NOW***. Holdings Inc. is a leading independent broker-dealer, serving over 23,000 financial advisors across the nation. Our mission is to provide personalized financial guidance to all Americans, and we believe in the advisor-mediated model for achieving this goal. At LPL, we value independence, creativity, and making a positive impact in our communities. We offer a competitive Total Rewards package, including benefits, perks, and resources to support your success at work and at home.

Why LPL?

• Innovative Environment: We foster creativity and growth, with a supportive and responsive leadership team.
• Limitless Career Potential: Your potential at LPL is unlimited, with a variety of career opportunities available.
• Unified Mission: We are one team, dedicated to taking care of our advisors so they can take care of their clients.
• Impactful Work: Our size allows for real impact and making a difference.
• Commitment to Equality: We value diversity and embrace diverse perspectives and backgrounds.
• Community Focus: We care for our communities and encourage our employees to do the same.
• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance, to support your life both at work and at home.

Join **MEMBERS ONLY**SIGN UP NOW***. and help us make a difference by turning life’s aspirations into financial realities. Apply now and be part of our team. EOE.