Lead with Purpose, Unlock Your Team’s Passion
At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win – clients, LPL, and most importantly our, employees.
If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today.
LPL seeks a highly experienced and strategic legal executive to serve as Senior Vice President, Associate General Counsel, Technology & Enterprise Services. Reporting directly to the Chief Legal Officer, this role leads the legal strategy, risk management, and legal support for critical enterprise functions that enable the company's growth, innovation, operational resilience, and regulatory compliance. In addition, this role provides guidance and counsel on a cross-functional basis to all business and control areas. The role will have high visibility with members of senior management including the Management Committee of the firm.
This executive will oversee a broad portfolio including Intellectual Property, Technology Legal, Cybersecurity Legal, Privacy Legal, and Commercial Contracting. As a trusted advisor to executive leadership, the SVP will partner closely with leaders across Technology, Information Security, Data & Analytics, Product, Procurement, Finance, Operations, and Corporate Functions to provide practical, business-oriented legal guidance while appropriately managing legal and regulatory risk.
The successful candidate will combine deep legal expertise with strong business acumen, influencing enterprise decisions and helping accelerate innovation while protecting the firm's interests, reputation, and clients.
Responsibilities:Enterprise Legal Leadership
- Serve as the senior legal leader for Corporate Services Legal and a member of the Legal leadership team.
- Oversee a team of lawyers focused on privacy and cyber security issues and coordinate with front office and control partners on these issues.
- Develop and execute the legal strategy supporting technology transformation, digital innovation, operational excellence, and enterprise risk management.
- Partner with the Chief Legal Officer to identify emerging legal risks, regulatory developments, and strategic opportunities impacting the business.
- Lead, develop, and mentor a team of attorneys, legal professionals, and external counsel.
Intellectual Property Legal
- Oversee the company's intellectual property strategy, including patents, trademarks, copyrights, trade secrets, licensing, and brand protection.
- Advise business leaders on innovation, product development, AI-related intellectual property issues, and competitive positioning.
- Manage intellectual property enforcement and dispute matters.
Technology Legal
- Provide legal counsel regarding enterprise technology initiatives, software development, cloud services, digital platforms, data licensing, emerging technologies, and AI-enabled solutions.
- Advise technology leaders on legal risks associated with technology architecture, implementation, procurement, and commercialization.
- Support strategic technology partnerships and enterprise transformation initiatives.
Cybersecurity Legal
- Serve as lead legal advisor for cybersecurity governance, cyber incidents, cyber resilience, and technology risk management.
- Partner with Information Security and Risk Management leaders on incident response preparedness, breach response, reporting obligations, and related regulatory matters.
- Advise on legal considerations involving cyber threats, third-party risk, and security program governance.
Privacy Legal
- Lead legal strategy related to data privacy, information governance, artificial intelligence, and responsible data use.
- Advise on privacy regulations, data-sharing arrangements, consent frameworks, cross-border data transfers, and emerging privacy requirements.
- Partner with privacy, compliance, security, and business stakeholders to establish scalable governance practices.
Commercial Contracting
- Oversee legal support for commercial contracting, procurement agreements, technology transactions, vendor relationships, strategic partnerships, and enterprise sourcing activities.
- Establish efficient contracting frameworks that balance risk management with business agility.
- Drive continuous improvement in contracting processes, standards, templates, and service delivery.
Strategic Business Partnership
- Advise executive leadership on legal implications of strategic initiatives, mergers and acquisitions integration, technology investments, business transformation efforts, and enterprise partnerships.
- Translate complex legal issues into practical, actionable business recommendations.
- Build strong relationships across the enterprise while fostering a risk-aware and solution-oriented culture.
What are we looking for?
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.
Requirements:
- Juris Doctor (J.D.) degree from an accredited law school.
- ·Active membership in good standing with at least one U.S. state bar.
- 10+ years of legal experience, including significant leadership experience in a large public company, financial services organization, major technology company, or nationally recognized law firm.
- Deep expertise spanning multiple areas including technology transactions, privacy, cybersecurity, intellectual property, and commercial contracting.
- Demonstrated success advising senior executives and boards on complex, high-impact legal and business matters.
Preferences:
- Experience supporting regulated financial services, fintech, wealth management, broker-dealer, or investment advisory businesses.
- Experience advising on artificial intelligence, digital transformation, cloud computing, data governance, and emerging technology risks.
- Background leading legal teams through periods of growth, transformation, acquisitions, or enterprise modernization.
- Demonstrated ability to balance legal rigor with practical business enablement.
- Demonstrated ability to take a solution-oriented approach when collaborating with business partners.
Pay Range:
$213,313.00 - $355,453.00Actual 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!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
For further information about LPL, please visit www.lpl.com.
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.
EAC 5.19.26
Skills Required
- Juris Doctor degree from an accredited law school
- Active membership in good standing with at least one U.S. state bar
- 10 or more years of legal experience
- Significant leadership experience in a large public company, financial services organization, major technology company, or nationally recognized law firm
- Deep expertise in technology transactions, privacy, cybersecurity, intellectual property, and commercial contracting
- Demonstrated success advising senior executives and boards on complex, high-impact legal and business matters
- Experience supporting regulated financial services, fintech, wealth management, broker-dealer, or investment advisory businesses
- Experience advising on artificial intelligence, digital transformation, cloud computing, data governance, and emerging technology risks
- Experience leading legal teams through growth, transformation, acquisitions, or enterprise modernization
- Ability to balance legal rigor with practical business enablement
- Solution-oriented approach when collaborating with business partners
LPL Financial Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about LPL Financial and has not been reviewed or approved by LPL Financial.
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Retirement Support — Retirement programs include a company 401(k) match that is frequently highlighted as a strong component of total rewards. Feedback suggests these features meaningfully enhance long‑term financial value.
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Equity Value & Accessibility — An employee stock purchase plan with a meaningful discount and lookback is highlighted as accessible ownership. Feedback suggests the plan adds tangible upside beyond base salary.
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Parental & Family Support — Paid parental leave has been expanded alongside family‑building and adoption support. Feedback suggests these benefits compare well to large‑employer standards.
LPL Financial Insights
What We Do
Financial advice is changing, and at LPL Financial, we’re at the forefront. We’re building a future where advisors can—with no friction or complexity, as simple as turning the dials—pick the business model, services, technology, and product mix that best meet their clients’ needs. With one platform, one sign-on, and one team to call, you can take your business anywhere you want it to go. There are no limits to your growth, and we’ll partner with you every step of the way. Your greatness is our goal. LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL.com Securities and Advisory Services offered through LPL Financial. A registered investment advisor, Member FINRA/SIPC.
