Job Overview:LPL Financial is seeking an experienced and skilled attorney to join its Regulatory Examinations & Inquiries team as a
Vice President, Assistant General Counsel.
This role is responsible for managing regulatory examinations and inquiries received by LPL. The position operates with significant autonomy and partners closely with Legal, Compliance, Supervision, and business leadership to address matters involving legal, regulatory, operational, and reputational risk.
The ideal candidate brings relevant experience working on securities exam or enforcement matters, can thrive in a fast-paced business environment, manage a substantial docket autonomously, and collaborate closely with other members of the Legal Department and other LPL units. Experience with bank, credit union, or Office of the Comptroller of the Currency ("OCC") regulatory matters is preferred but nor required.
Responsibilities:- Manage regulatory examinations and inquiries from FINRA, the SEC, states and other SROs and regulators. This includes supporting LPL's OCC-regulated affiliate and institutional partners in connection with bank and credit union regulatory examinations.
- Evaluate legal, regulatory, operational, and reputational risks in connection with matters, and advise on appropriate response strategies.
- Represent the Firm in interactions with regulators, including negotiation of information requests, written responses, and resolution of issues.
- Advise on emerging regulatory developments and assess potential impacts to the Firm.
- Serve as a legal advisor on complex regulatory matters with firm-wide implications.
- Partner with business stakeholders to enhance policies and procedures and to develop practical solutions that balance regulatory obligations and business objectives.
- Develop and maintain effective working relationships with regulatory agencies and industry partners.
- Provide mentoring, guidance, and leadership to attorneys and legal professionals across the department.
- Drive policy and process improvements that enhance the effectiveness and efficiency of the team and support overall team success and development.
What are we looking for?We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates
pursue greatness,
act with integrity, and are
driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we
win together and
create and share joy in our work.
Requirements:- Juris Doctor (J.D.) degree from an accredited law school.
- Active bar membership in good standing.
- 6+ years of experience working on securities exam or enforcement matters.
- Relevant experience handling complex regulatory matters within a law firm, in-house legal department, or regulatory agency.
- Understanding of the regulatory framework applicable to broker-dealers and investment advisers.
- Excellent analytical, communication, advocacy, and negotiation skills.
Core Competencies:- Proven ability navigating complex, novel, and ambiguous regulatory matters.
- Ability to assess enterprise-wide legal and regulatory implications and develop strategic solutions.
- Ability to effectively represent the Firm with regulators and external stakeholders.
- Excellent communication, collaboration and relationship-building skills.
- Ability to balance business objectives, regulatory obligations, and risk considerations.
Preferences:- Experience with bank, credit union, or OCC regulatory matters is preferred but not required.
Pay Range: $168,611.00 - $281,087.00
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
