Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in Fort Mill, SC

In-House

Fort Mill, SC

Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in Fort Mill, SC

Attorney

Min 6 yrs required

No

The Role of VP, Associate Counsel at **MEMBERS ONLY**SIGN UP NOW***.

Salary: $163, - $272,
Job Title: VP, Associate Counsel
Experience: Minimum of 6 years of securities regulatory enforcement experience; prior employment at a law firm and/or with a securities regulator is highly desirable

Job Overview:

- Manage complex federal, state, and SRO investigations and regulatory matters.
- Serve as primary point of contact with LPL's regulators and drive case strategy and management.
- Work closely with others in Legal and the firm.
- Scope, negotiate, manage, and produce responses to requests for information and documents.
- Draft written work product and prepare witnesses for testimony.
- Brief senior lawyers and others on key matter developments, risks, and recommendations.
- Efficiently manage outside counsel.

Responsibilities:

- Manage matters both independently and with the assistance of outside counsel.
- Develop and execute on case strategy and management.
- Scope, negotiate, manage, and produce responses to requests for information and documents.
- Draft written work product, including correspondence with regulators, advocacy presentations, and executive-level briefing and summary materials.
- Prepare witnesses for testimony.
- Brief senior lawyers and others in the business on key matter developments, risks, and recommendations.
- Efficiently manage outside counsel.

Requirements:

- Juris Doctor degree.
- Licensed member of any bar, in good standing.
- Minimum of 6 years of securities regulatory enforcement experience; prior employment at a law firm and/or with a securities regulator is highly desirable.
- Experience with the Securities Exchange Act of 1934, Investment Advisers Act of 1940, and rules and regulations of self-regulatory organizations.

Core Competencies:

- Strong matter management skills, including the ability to manage multiple cases and deadlines in a fast-paced and dynamic work environment.
- Superior communication, writing, and analytical skills.

Why LPL?

- **MEMBERS ONLY**SIGN UP NOW***. was founded on the principle of working for the advisor, not the other way around.
- Leader in the markets we serve, supporting more than 24,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide.
- Commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor.
- Independence means advisors have the freedom to choose their business model, services, and technology resources.
- Take care of advisors, so they can take care of their clients.

About **MEMBERS ONLY**SIGN UP NOW***.:

- Objective financial guidance is a fundamental need for everyone.
- Integrated platform of proprietary technology, brokerage, and investment advisor services.
- Work environment that encourages creativity and growth.
- Supportive and responsive leadership team.
- Opportunity to create a career with no limits.
- Committed to supporting workplace equality and embracing different perspectives and backgrounds.
- Encourage employees to give back to their communities.

Interview Process:

- LPL will only communicate with job applicants directly from an email address.
- Will not conduct interviews online or in chatroom forums.
- Will not request any form of payment or information regarding bank or credit card.
- For any questions regarding the application process, .

Join the LPL team and make a difference by turning life's aspirations into financial realities. Apply now!