Are you a team player with a curious mindset? Do you want to work on meaningful projects and be a part of a team that is transforming the industry? If so, **MEMBERS ONLY**SIGN UP NOW*** is the perfect place for you!
Bullet Points:
- **MEMBERS ONLY**SIGN UP NOW*** is a leader in the markets it serves, supporting over 24,000 financial advisors nationwide. - We are committed to the advisor-centered model and providing personalized guidance to clients. - As an AVP, Associate General Counsel, you will be responsible for a wide range of legal services, including responding to investor complaints and defending the firm in litigation. - This role will report to a Vice President, Associate Counsel within the Early Dispute Resolution Group. - You will work closely with compliance, operations, and supervision teams. - The successful candidate will have a business-oriented approach and mindset. - You must have a Juris Doctor degree and be admitted to a State Bar. - 5 years of experience in a broker/dealer, regulatory entity, or law firm is preferred. - Core competencies include superior judgment, knowledge of regulatory compliance, and strong research and writing skills. - Experience with investment products and asset types is a plus.
SEO Friendly Job Title: AVP, Associate General Counsel at Leading Financial Services Firm
Salary Information: $128,900.00 - $214,900.00 (actual base salary may vary based on relevant skills, experience, and location)
Job Overview:
As an AVP, Associate General Counsel at **MEMBERS ONLY**SIGN UP NOW***, you will play a crucial role in providing legal guidance and support to the firm's Early Dispute Resolution group. This includes responding to investor complaints, regulatory inquiries, and defending the firm and its advisors in litigation. You will work closely with various teams within the firm to ensure equitable resolution of claims and compliance with regulatory requirements. This is an exciting opportunity for legal professionals who are looking to make a real impact in the financial services industry.
Responsibilities:
- Evaluate and manage legal, financial, regulatory, and reputational risks. - Collaborate with compliance, legal, and risk partners, as well as other business units. - Independently manage a case load of investor complaints. - Maintain a professional and confidential relationship with clients. - Handle other assignments and matters within litigation.
Requirements:
- Juris Doctor degree. - Admission in good standing to a State Bar. - 5 years of experience in a broker/dealer, regulatory entity, or law firm. - Strong judgment and aptitude for addressing investor complaints. - Knowledge of brokerage account regulations and compliance. - Excellent negotiation skills. - Strong research, writing, and organizational skills. - Ability to work independently while managing a significant case load.
Preferences:
- Experience with multiple investment products and asset types.
At **MEMBERS ONLY**SIGN UP NOW***, we believe that objective financial guidance is essential for everyone. As the leading independent broker-dealer, we offer a comprehensive platform of technology, brokerage, and investment advisor services. Our work environment encourages creativity and growth, and our leadership team is supportive and responsive. We are committed to workplace equality and value the unique perspectives of our employees. We also prioritize giving back to our communities and encourage our employees to do the same. Join us and make a difference by helping individuals achieve their financial aspirations. Apply today!
Please note: LPL will only communicate with job applicants from an @lplfinancial.com email address and will never conduct interviews online or in chatrooms. We will not request any form of payment or personal information during the interview process. If you have any questions, please contact our Human Resources Solutions Center. **MEMBERS ONLY**SIGN UP NOW*** is an Equal Opportunity Employer.
