Salary: $163,700.00 - $272,900.00 Job Title: VP, Associate Counsel Experience: Minimum of 6 years of securities regulatory enforcement experience; prior employment at a law firm and/or with a securities regulator is highly desirable
Job Overview:
- Manage complex federal, state, and SRO investigations and regulatory matters. - Serve as primary point of contact with LPL's regulators and drive case strategy and management. - Work closely with others in Legal and the firm. - Scope, negotiate, manage, and produce responses to requests for information and documents. - Draft written work product and prepare witnesses for testimony. - Brief senior lawyers and others on key matter developments, risks, and recommendations. - Efficiently manage outside counsel.
Responsibilities:
- Manage matters both independently and with the assistance of outside counsel. - Develop and execute on case strategy and management. - Scope, negotiate, manage, and produce responses to requests for information and documents. - Draft written work product, including correspondence with regulators, advocacy presentations, and executive-level briefing and summary materials. - Prepare witnesses for testimony. - Brief senior lawyers and others in the business on key matter developments, risks, and recommendations. - Efficiently manage outside counsel.
Requirements:
- Juris Doctor degree. - Licensed member of any bar, in good standing. - Minimum of 6 years of securities regulatory enforcement experience; prior employment at a law firm and/or with a securities regulator is highly desirable. - Experience with the Securities Exchange Act of 1934, Investment Advisers Act of 1940, and rules and regulations of self-regulatory organizations.
Core Competencies:
- Strong matter management skills, including the ability to manage multiple cases and deadlines in a fast-paced and dynamic work environment. - Superior communication, writing, and analytical skills.
Why LPL?
- **MEMBERS ONLY**SIGN UP NOW*** was founded on the principle of working for the advisor, not the other way around. - Leader in the markets we serve, supporting more than 24,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide. - Commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. - Independence means advisors have the freedom to choose their business model, services, and technology resources. - Take care of advisors, so they can take care of their clients.
- Objective financial guidance is a fundamental need for everyone. - Integrated platform of proprietary technology, brokerage, and investment advisor services. - Work environment that encourages creativity and growth. - Supportive and responsive leadership team. - Opportunity to create a career with no limits. - Committed to supporting workplace equality and embracing different perspectives and backgrounds. - Encourage employees to give back to their communities.
Interview Process:
- LPL will only communicate with job applicants directly from an @lplfinancial.com email address. - Will not conduct interviews online or in chatroom forums. - Will not request any form of payment or information regarding bank or credit card. - For any questions regarding the application process, contact LPL's Human Resources Solutions Center at **MEMBERS ONLY**SIGN UP NOW***.
Join the LPL team and make a difference by turning life's aspirations into financial realities. Apply now!
