LPL Financial · 17 hours ago
VP, Associate General Counsel - Brokerage Advice
San Diego, CA
Full-time
Onsite
Mid, Senior Level
$164K/yr - $273K/yr
5+ years expLPL Financial is a leading wealth management firm that empowers professionals to shape their success while helping clients pursue their financial goals. They are seeking an experienced attorney to join their corporate legal advice team as Vice President, Assistant General Counsel, Brokerage, focusing on providing strategic legal advice to various business units within the brokerage and investment advisory sectors.
FinanceFinancial Services
Responsibilities
Day-to-day legal support for LPL’s financial services business, including providing legal analysis and advice with respect to applicable rules, regulations and legal risk relating to the brokerage and investment advisory business
Work with a senior attorney on internal merger and acquisition projects, development and maintenance of LPL’s brokerage and custodial platforms for advisors, and business development initiatives. This may include engaging with FINRA, including its MAPS team to help with CMA
Drafting and modifying client agreements, account documentation and disclosures, and filings with regulators. Performing legal research and drafting memorandums concerning compliance with applicable laws, rules and regulations
Interacting with other members of the Legal Department as well as other LPL units including, amongst other departments, Compliance and Risk
Qualification
Required
5+ years of experience in dealing with issues arising under the Securities Exchange Act, Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA rules and regulations as well as related federal and state securities laws
Proficiency in legal writing, performing legal research (LexisNexis preferred) and written communication skills
Understanding of regulatory landscape applicable to broker-dealers and registered investment advisers, including a familiarity with regulatory processes (SEC and FINRA)
Proficiency with MS Word, Excel, PowerPoint, and Outlook
Preferred
Relevant private practice experience is highly desired
Prior in-house counsel experience preferred but not required
Experience with FINRA continuing membership applications, prior work at or for a clearing firm or custodian, and an understanding of the SEC Custodial Rule and Customer Protection Rule is highly preferred but not required
Transactional experience specifically in mergers and acquisitions, securities transactions, non-disclosure agreements, etc. preferred
Ability to interface effectively with investment personnel as well as LPL advisors, clients and their counsel
Ability to understand and assess a wide variety of complex commercial transactions
Highly motivated self-starter able to work independently while collaborating and coordinating as part of a global program
Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment
Exceptional written and verbal communications skills, attention to detail, and effective time management
Sound judgment and an ability to appropriately escalate issues internally
Proven ability to handle highly confidential information professionally and with appropriate discretion
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
H1B Sponsorship
LPL Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (106)
2024 (105)
2023 (122)
2022 (127)
2021 (65)
2020 (44)
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Interim CEO
Sid Vyas
Chief Technology Officer/EVP
Recent News
2026-01-13
2026-01-12
Investment News
2026-01-11
Company data provided by crunchbase