VP, Assistant General Counsel

LPL Financial

The Vice President, Assistant General Counsel in the firm’s Early Dispute Resolution (EDR) group is responsible for a broad range of in-house legal services, with primary focus on responding to investor complaints, including both sales practice and operational complaints, collaborating on regulatory inquiries and resolving customer complaints before they escalate, and defending the firm and its advisors prior to litigation. Responsibilities also include rendering legal advice and counsel to the company and business units while working to achieve equitable resolution of claims.

This role will report to a Senior Vice President, Associate General Counsel within the Advice, Litigation and Regulatory group of the firm’s Compliance, Legal and Risk Department. The role will require frequent interaction with the firm’s compliance, operations, supervision teams as well as additional business units. The successful candidate will have a business-oriented approach and mindset in developing and delivering legal solutions.

Essential Functions:

Possess superior judgment and aptitude for evaluating and addressing investor complaints in a timely and substantive manner, as well as ensuring compliance with all FINRA regulatory reporting requirements that relate to investor complaints. Provide effective Regulatory Reporting of customer complaints. Knowledge of brokerage account regulations and compliance. Evaluate legal, financial, regulatory and reputational risk and escalate to senior management as needed. Coordinate with compliance, legal and risk partners and other business units as appropriate. Ability to adapt quickly to changing environments and independently manage significant investor complaint case load assignments.Handle client contact in a professional, courteous, and confidential manner.Ability to work independently with minimal supervision.Ability to efficiently handle case assignments, some committee responsibilities and converse on matters related to litigation.

Job Qualifications:

Juris Doctor degree required (barred in your state of practice) Minimum of 6-7 years experience working in-house at a broker/dealer, securities related regulatory entity, or a law firm, and preferably significant exposure to litigation practices and procedures Experience managing a team of attorneys and legal staff is a plusExcellent negotiation and dispute resolution skillsStrong research, writing and organizational skillsExperience with multiple investment products and asset types strongly preferredExcellent interpersonal skills and ability to interact with members of senior management The position will be located in either Fort Mill, South Carolina or San Diego, California

Pay Range:


Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

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Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

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