VP, Assistant General Counsel - Brokerage
$168,611–$281,087 year
On-siteBoston, Massachusetts, United States or New York, United States
Job Summary
Provide day-to-day legal support for LPL's financial services business, including legal analysis and advice on rules, regulations, and legal risk for the brokerage and investment advisory sectors. Work with a senior attorney on internal merger and acquisition projects supporting conversions, serving as a legal advisor to the business, compliance, operations, and senior management to ensure regulatory approvals are obtained. Provide conversion and integration support, including advice on legal and regulatory implications of business migrations, repapering efforts, bulk transfers, and operational changes. Draft client agreements, account documentation, disclosures, and filings with regulators. Perform legal research and draft memorandums concerning compliance with applicable laws, rules, and regulations. Interact with other Legal Department members and LPL units, including Compliance and Risk.
Required Qualifications
- 5-10 years of experience in dealing with issues arising under the Securities Exchange Act, Investment Advisers Act of 1940, FINRA rules and regulations as well as related federal and state securities laws
- Experienced in legal writing, performing legal research (LexisNexis preferred) and written communication skills
- Experienced with the regulatory landscape applicable to broker-dealers and registered investment advisers, including familiarity with regulatory processes (SEC and FINRA)
- Experience with supporting financial institutions in conversions and FINRA regulatory applications
- Proficiency with MS Word, Excel, PowerPoint, and Outlook
- Ability to interface effectively with investment personnel as well as LPL advisors, clients and their counsel
- Ability to understand and assess a wide variety of complex commercial transactions
- Highly motivated self-starter able to work independently while collaborating and coordinating as part of a global program
- Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment
- Exceptional written and verbal communications skills, attention to detail, and effective time management
- Sound judgment and an ability to appropriately escalate issues internally
- Proven ability to handle highly confidential information professionally and with appropriate discretion
Desired Qualifications
- Strong interest in developing AI proficiency, including the ability to learn and adopt emerging AI tools and technologies in support of objectives
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.