Corporate VP, Associate Counsel

LPL Financial   •  

San Diego, CA

Industry: Financial Services

  •  

Less than 5 years

Posted 359 days ago

The Vice President, Associate General Counsel will assist other attorneys in the department, including senior attorneys, Deputy General Counsel and Chief Legal and Risk Officer, with the provision of legal advice with respect to the company’s retirement business.   

This role will report to a Senior Vice President, Associate General Counsel within the Advice, Litigation and Contracts group of the Compliance, Legal and Risk Department and will provide legal advice related to the company’s advisory, brokerage and custodian business for retirement plans and retirement accounts.  The role will require frequent interaction with the company’s business teams that support the firm’s retirement business, including operations, compliance, marketing, and platform development.  Job responsibilities will include assistance with: 

  • •Legal analysis of compliance and regulatory issues affecting the company as a service provider to retirement plans and IRAs
  • •Implementation of new and changing regulations affecting the retirement business of a broker-dealer, investment advisor and custodian, in particular, the DOL fiduciary rule, and other rules under ERISA and the Internal Revenue Code
  • •Assistance with maintenance of LPL’s retirement business in the context of the firm’s advisory and brokerage platforms
  • •Work with various business units within the company to draft and negotiate contracts with retirement plan clients and retirement plan platform providers
  • •Draft agreements, disclosure documents and other forms for use with retail IRA and retirement plan clients

Requirements:

  • •Must have Bachelor’s Degree, J.D., and be admitted to practice
  • •Minimum of three to five years corporate legal experience, preferably in a financial services complex or a law firm working with corporate clients
  • •Focused experience as an attorney working with ERISA and the Internal Revenue Code
  • •Knowledge preferred of the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, the rules and regulations of self-regulatory organizations, state securities laws, and basic corporate law principles
  • •Strong writing and organizational skills
  • •Ability to engage in complex legal analyses 
  • •Should have good interpersonal skills and ability to interact with members of senior management as well as adaptability and willingness to take on a wide variety of new tasks in a fast-paced environment
  • •Ability to present to financial professionals
  • •Must be willing to travel on occasion as needed

Job ID: R-000913