LPL Financial Corp Verified 2d ago
VP, Assistant General Counsel, Regulatory Exams and Inquiries
BostonAll locationsBostonFort Mill/CharlotteNew York On-site
$168,611–$281,087 a yearPay$168,611–$281,087
TypeFull-time
Work settingOn-site
Verified listing
JobFig found this opening at its original source and checks that it remains available.
About the role
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.
What you'll bring
- 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.
- Juris Doctor (J.D.) degree from an accredited law school.
- 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.
- 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.
Benefits
401(k)Paid Time Off
Locations
BostonFort Mill/CharlotteNew York