SVP, Associate General Counsel – Broker-Dealer Regulatory Compliance

Lead with Purpose, Unlock Your Team’s Passion At LPL, people leaders hold the key to the employee experience—shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win: clients, LPL, and most importantly, our employees. 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.

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.

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