Where Ambition Meets Innovation
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
Job Overview: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. The position operates with significant autonomy and partners closely with Legal, Compliance, Supervision, and business leadership to address matters involving legal, regulatory, operational, and reputational risk.
The ideal candidate brings relevant experience working on securities exam or enforcement matters, can thrive in a fast-paced business environment, manage a substantial docket autonomously, and collaborate closely with other members of the Legal Department and other LPL units. Experience with bank, credit union, or Office of the Comptroller of the Currency (“OCC”) regulatory matters is preferred but nor required.
Responsibilities:- Manage regulatory examinations and inquiries from FINRA, the SEC, states and other SROs and regulators. This includes supporting LPL’s OCC-regulated affiliate and institutional partners in connection with bank and credit union regulatory examinations.
- Evaluate legal, regulatory, operational, and reputational risks in connection with matters, and advise on appropriate response strategies.
- Represent the Firm in interactions with regulators, including negotiation of information requests, written responses, and resolution of issues.
- Advise on emerging regulatory developments and assess potential impacts to the Firm.
- Serve as a legal advisor on complex regulatory matters with firm-wide implications.
- Partner with business stakeholders to enhance policies and procedures and to develop practical solutions that balance regulatory obligations and business objectives.
- Develop and maintain effective working relationships with regulatory agencies and industry partners.
- Provide mentoring, guidance, and leadership to attorneys and legal professionals across the department.
- Drive policy and process improvements that enhance the effectiveness and efficiency of the team and support overall team success and development.
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 bar membership in good standing.
- 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.
- Ability to balance business objectives, regulatory obligations, and risk considerations.
- Experience with bank, credit union, or OCC regulatory matters is preferred but not required.
Pay Range:
$168,611.00 - $281,087.00Actual 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 (J.D.) degree from an accredited law school
- Active bar membership in good standing
- 6+ years of experience working on securities exam or enforcement matters
- Relevant experience handling complex regulatory matters in 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 and advising enterprise-wide
- Experience with bank, credit union, or OCC regulatory matters
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.
