SVP, Associate General Counsel – Broker-Dealer Regulatory Compliance

Senior Vice President, Associate General Counsel

This senior vice president will report to the Executive Vice President and provide strategic legal advice to LPL’s broker-dealer, custodial, and investment advisory platform businesses. The role partners with senior leadership to shape legal and regulatory strategy, advises Compliance, Supervision, Risk, Business Development, and Corporate Development on regulatory matters, and oversees a team of experienced attorneys.

Responsibilities

• Provide day‑to‑day legal support for LPL’s financial services business, including analysis and advice on compliance with applicable rules, regulations, and legal risks impacting brokerage and investment advisory activities.
• Review, revise, and develop internal policies and procedures in response to business initiatives and regulatory developments.
• Conduct legal research and draft memoranda related to compliance with applicable laws, rules, and regulations.
• Collaborate with members of the Legal Department and business units, including Supervision, Compliance, and Risk.
• Manage a team of attorneys aligned to LPL’s brokerage and control‑based business lines.
• Provide strategic counsel on M&A transactions and regulatory approval processes.
• Advise on due diligence standards and establish protocols for the onboarding and distribution of alternative investments.

Qualifications

• Recognized as a trusted advisor by senior leaders in complex, highly regulated environments.
• Expertise in the regulatory framework governing broker‑dealers and investment advisers, including SEC and FINRA oversight.
• Working knowledge of federal securities laws, the rulemaking process, regulatory notices, interpretive guidance, and agency interpretations.
• Ability to advise on emerging areas such as AI‑enabled advice tools, digital assets, and evolving regulatory frameworks impacting next‑generation wealth platforms.
• Demonstrated ability to lead and develop high‑performing teams of attorneys, setting direction, elevating talent, and building a best‑in‑class legal function aligned to business growth.

Core Competencies

• Strategic judgment
• Executive presence
• Influence without authority
• Commercial mindset
• Talent leadership

Preferences

• Experience drafting, filing, and managing continuing membership applications with FINRA.
• Demonstrated success representing financial services firms in enforcement proceedings, federal and state court matters, SRO arbitrations, and administrative proceedings.
• Working knowledge of alternative investments, including hedge funds, venture capital funds, private equity funds, public non‑traded products, business development companies, and private placements.

Success in the First 12–18 Months

• Strengthen legal support for broker‑dealer growth initiatives.
• Enhance regulatory strategy for complex product offerings.
• Build a highly engaged, high‑performing legal team.

Pay Range

$213,313.00 – $355,453.00 (base salary). Actual base salary varies based on factors such as skill, experience, education, peer salary, performance, and geographic location. LPL’s Total Rewards package includes 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and additional benefits.

Equal Opportunity Employer.