EVP, Head of Advisory & Brokerage, Banking & Lending, and Product Legal
Core
Lead attorney responsible for legal strategy, regulatory compliance, and risk management for LPL's brokerage, advisory, banking, and lending platforms.
Role type
Senior in-house general counsel (financial services)
Builds
Legal strategy and regulatory frameworks for brokerage and lending products
Domain
Financial services / Banking and Lending
Required skills
Strategic legal leadership, regulatory compliance (SEC/FINRA), team management, risk analysis, business partnership
Preferred skills
Digital transformation, innovation in legal processes, data-driven insights
Technologies
Legal tech tools, digital capabilities
Responsibilities
Provide strategic leadership and risk management for core businesses; Lead and develop a diverse team of attorneys; Collaborate with Government Relations and Regulatory teams; Reimagine legal processes to support business goals; Facilitate tech-enabled legal operations.
Seniority
Executive (EVP), hands-on IC with team leadership
