VP, Wealth Management Alternative Investments Attorney
Core
VP Attorney providing strategic legal advice on onboarding, due diligence, sales, and controls for alternative investments, complex products, and digital assets within LPL's broker-dealer and investment advisory businesses.
Role type
Senior IC corporate attorney (wealth management/alternative investments)
Builds
Legal frameworks and compliance protocols for alternative investment products and digital assets
Domain
Financial services, securities regulation, alternative investments
Required skills
Securities Exchange Act, Investment Advisers Act, Investment Company Act, FINRA rules, federal and state securities laws, alternative investments (hedge funds, VC, PE, private credit), broker-dealer regulation, regulatory research, legal writing, policy development
Preferred skills
Artificial intelligence utilization
Technologies
LexisNexis
Responsibilities
Provide legal analysis and advice on compliance for alternative investments and complex products; Draft and review agreements with alternative investment sponsors; Counsel on due diligence standards and onboarding protocols; Develop internal policies and procedures for regulatory developments; Perform legal research and draft memorandums on securities laws; Interact with Legal Department and business units (Product, Compliance, Risk Management)
Seniority
Senior, hands-on IC