SVP, Associate General Counsel – Broker-Dealer Regulatory Compliance
Core
Strategic legal partner shaping regulatory strategy for LPL's broker-dealer and investment advisory platforms, advising Compliance, Risk, and Business Development.
Role type
SVP, Associate General Counsel (Broker-Dealer Regulatory Compliance)
Builds
Legal strategy, internal policies, and regulatory compliance frameworks for brokerage and advisory activities.
Domain
Financial Services / Securities Regulation
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Broker-dealer regulatory compliance, SEC/FINRA oversight expertise, federal securities laws, enforcement defense, M&A advisory, due diligence protocols, team leadership
Preferred skills
FINRA membership application management, enforcement proceedings representation, alternative investments knowledge (hedge funds, private equity)
Technologies
N/A
Responsibilities
Provide day-to-day legal support for compliance with rules and regulations; Review and develop internal policies; Conduct legal research and draft memoranda; Collaborate with Legal, Compliance, and Risk teams; Manage a team of experienced attorneys; Provide strategic counsel on M&A transactions; Advise on due diligence for alternative investments
Seniority
Senior, hands-on IC with team leadership
