VP, Assistant General Counsel - Brokerage
Core
Provide strategic legal advice and regulatory compliance support for LPL's broker-dealer business, including M&A, platform conversions, and client agreements.
Role type
Senior in-house corporate counsel (brokerage)
Builds
Regulatory compliance frameworks, M&A integration plans, and client service agreements for a brokerage platform
Domain
Financial services / Securities law
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Securities Exchange Act expertise, Investment Advisers Act knowledge, FINRA rule interpretation, SEC regulatory process navigation, M&A transaction support, legal drafting, regulatory research
Preferred skills
AI tool adoption, complex commercial transaction analysis
Technologies
LexisNexis, MS Office suite
Responsibilities
Advise on FINRA rules and SEC regulations for broker-dealer operations; Support internal M&A projects and platform conversions; Draft client agreements and regulatory filings; Conduct legal research on securities laws; Collaborate with Compliance and Risk teams
Seniority
Senior, hands-on IC
