Job Description **MEMBERS ONLY**SIGN UP NOW*** is a leader in the financial services industry, providing financial professionals and institutions with comprehensive investment and business solutions. This role, AVP, Associate Counsel, will work with an experienced team of lawyers to provide pragmatic legal advice and thought leadership to help LPL serve and protect investors.
**MEMBERS ONLY**SIGN UP NOW*** is seeking an AVP, Associate Counsel to support our team in providing financial services to clients across the United States. This individual will provide legal advice on agreements, laws, and regulations that impact LPL’s support of vulnerable investors and changes in account status arising from death, divorce, or the use of trusts and powers of attorney. They will also work closely with an experienced team to provide thought leadership and guidance on investor protection laws and regulations.
Key Responsibilities:
- Provide legal and regulatory advice on issues affecting LPL and financial professionals, with a focus on changes in investors’ circumstances such as death, marital status, exploitation, and vulnerability. - Counsel LPL operations and financial professionals on issues related to trusts, retirement accounts, powers of attorney, and other legal proceedings involving account holders. - Partner with colleagues in Compliance, Legal, and Risk teams to promptly and effectively respond to novel situations. - Stay up-to-date on federal and state laws impacting LPL’s operations and investors. - Collaborate with team members to deliver a world-class client experience. - Manage multiple tasks and deadlines in a fast-paced and demanding work environment. - Communicate effectively with senior management and adapt to new tasks in a dynamic environment.
Qualifications:
- JD from a nationally accredited law school; admitted to practice law, and in good standing, in at least one jurisdiction in the U.S. - 3-5 years of experience counseling in the financial services industry. - Familiarity with estates and divorce issues and a desire to learn more. - Experience at a law firm, financial services company, or regulatory agency. - Strong organizational and project management skills. - Excellent written and oral communication skills. - Good interpersonal skills and adaptability to new tasks in a fast-paced environment.
Compensation:
- Pay range: $128,900.00 - $214,900.00 - Actual base salary varies based on factors such as relevant skills, experience, education, and location. - LPL offers a highly competitive Total Rewards package, including 401K matching, health benefits, employee stock options, paid time off, and more.
Why LPL?
- At LPL, we believe that objective financial guidance is a fundamental need for everyone. - We offer an integrated platform of proprietary technology, brokerage, and investment advisor services. - Our leadership team is supportive and responsive, and our work environment encourages creativity and growth. - We are committed to workplace equality and value the diverse perspectives and backgrounds of our employees. - We care for our communities and encourage our employees to do the same. - We offer a dynamic environment where you can make a real impact and achieve your full potential.
At **MEMBERS ONLY**SIGN UP NOW***, we take social responsibility seriously and are committed to making a difference in people's lives by helping them achieve their financial goals. If you are interested in joining our team, please log in or create an account to apply for this position. We are an Equal Opportunity Employer and welcome all qualified applicants.
Interview Information:
- LPL will only communicate with job applicants from an @lplfinancial.com email address. - We will never conduct an interview online or in a chatroom forum. - During an interview, we will not request any form of payment or personal financial information. - If you have any questions about the application process, please contact LPL’s Human Resources Solutions Center at **MEMBERS ONLY**SIGN UP NOW***.
