SVP, Associate General Counsel – Broker-Dealer Regulatory Compliance

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If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today.

LPL Financial seeks an experienced attorney to join its corporate legal advice team as Senior Vice President, Associate General Counsel. This SVP will report to the Executive Vice President responsible for providing strategic legal advice to various business units. This team focuses primarily on LPL’s broker-dealer and custodial platform business, while also supporting the investment advisory business. This leader serves as a strategic partner to senior leadership, shaping legal and regulatory strategy for LPL’s broker-dealer and advisory platforms. The role also advises Compliance, Supervision, and Risk, as well as Business Development (recruiting) and Corporate Development (M&A), on regulatory compliance related to these activities.

The ideal candidate thrives in a fast-paced business environment and can manage a substantial docket autonomously. A qualified candidate will have at least 10 years of relevant experience at a law firm counseling the financial services industry, specifically broker-dealer and retail investment advisory businesses, in areas such as federal, state, and SRO regulatory compliance, enforcement defense, and/or agency or private civil litigation/arbitration defense. In-house experience within a leading financial services firm will also be considered.

Responsibilities:

• Provide day-to-day legal support for LPL’s financial services business, including legal analysis and advice related to compliance with applicable rules, regulations, and legal risks impacting brokerage and investment advisory activities

• Review, revise, and develop internal policies and procedures in response to business initiatives and regulatory developments

• Conduct legal research and draft memoranda related to compliance with applicable laws, rules, and regulations

• Collaborate with members of the Legal Department and business units, including Supervision, Compliance, and Risk

• Manage a team of experienced attorneys aligned to LPL’s brokerage and control-based business lines

• Provide strategic counsel on M&A transactions and regulatory approval processes

• Advise on due diligence standards and establish protocols for the onboarding and distribution of alternative investments

What Are We Looking For?

We’re seeking strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Ideal candidates pursue excellence, act with integrity, and are driven to help clients succeed. We value individuals who embrace creativity, continuous improvement, and contribute to a culture where we win together and find joy in our work.

Requirements:

• Recognized as a trusted advisor by senior leaders in complex, highly regulated environments

• Expertise in the regulatory framework governing broker-dealers and investment advisers, including SEC and FINRA oversight

• Working knowledge of federal securities laws, the rulemaking process, regulatory notices, interpretive guidance, and agency interpretations

• Ability to advise on emerging areas such as AI-enabled advice tools, digital assets, and evolving regulatory frameworks impacting next-generation wealth platforms

• Demonstrated ability to lead and develop high-performing teams of attorneys, setting direction, elevating talent, and building a best-in-class legal function aligned to business growth

Core Competencies:

• Strategic judgment

• Executive presence

• Influence without authority

• Commercial mindset

• Talent leadership

Preferences:

• Experience drafting, filing, and managing continuing membership applications with FINRA

• Demonstrated success representing financial services firms in enforcement proceedings, federal and state court matters, SRO arbitrations, and administrative proceedings

• Working knowledge of alternative investments, including hedge funds, venture capital funds, private equity funds, public non-traded products, business development companies, and private placements

Success in the First 12–18 Months:

• Strengthening legal support for broker-dealer growth initiatives

• Enhancing regulatory strategy for complex product offerings

• Building a highly engaged, high-performing legal team

Pay Range: $213,313.00 - $355,453.00

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com.

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews: LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

EAC 5.19.26