EVP, Head of Advisory & Brokerage, Banking & Lending, and Product Legal

About LPL Financial 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, LPL supports over 29,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 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. Third-party posts found on this profile don’t reflect the views of LPL Financial and haven’t been reviewed by LPL Financial as to accuracy or completeness. The financial professionals associated with LPL Financial may discuss or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state. finra.org sipc.org

LPL Financial

Empowering financial advisors to deliver personalized advice to all who need it.

Independent Broker/DealerInstitution ServicesRIAIndependent AdvisorsCustom Clearing Servicesand Financial Services

L

lpl.com

5,001-10,000 employees

Financial Services

San Diego, CA

1989

Public Company

190k LinkedIn followers

Raised $2.5B

• 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
• The EVP, Head of Advisory & Brokerage, Banking & Lending, and Product Legal will
• be the firm’s lead attorney in developing the legal strategy and oversee the
• management of legal and regulatory issues related to LPL’s brokerage and
• advisory platforms, banking and lending offerings, institutions, retirement,
• strategy and products. Your role will combine legal leadership, strategic
• acumen, team management and a deep understanding of how to work with business
• partners to drive effective outcomes that balance client needs with keen risk
• analysis. You will be expected to leverage best practices in legal support,
• digital capabilities, tools, technologies, and techniques to extend a
• client-centric approach across the Legal functions—meeting advisors and business
• partners where they are and reimagining how they engage with and are supported
• by Legal.
• leadership, insights, and risk management for LPL’s core businesses,
• including brokerage and advisory platforms, banking and lending offerings,
• and products.
• Lead and inspire a best-in-class, diverse team of attorneys and legal staff
• in effectively and efficiently managing complex and varied legal and business
• issues while bringing a transformation mindset to the function and how it
• relates to clients.
• Actively build, manage and develop the talent on your team, with a focus on
• client-centered lawyering, intellectual curiosity, partnership with the
• business and team-oriented approach.
• Collaborate closely with colleagues in Legal and Government Relations to
• better integrate insights, create feedback loops and inform advice and
• advocacy.
• Oversee a team that advises cross functional partners across the firm,
• including key control partners in Compliance, Risk and Supervision.
• Partner with the Regulatory Team to set the strategy for engaging with the
• firm’s regulatory oversight bodies.
• Leverage data, as well as industry developments, to provide key and
• actionable insights to business partners across the firm.
• Bring innovation to reimagine old processes and develop new ways to delight
• clients and partners while providing valued legal advice and strategy.
• Facilitate a tech-enabled department through relevant applications and
• processes.
• Ensure the team understands and is supporting the business units’ goals and
• OKRs.
• 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.
• 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.

• 15+ years’ experience as an attorney advising a financial services firm or
• serving financial services clients, with meaningful experience across
• advisory and brokerage, banking and lending, and product legal matters.
• Experience leading high performing and solutions-oriented teams.
• Strong working knowledge of the legal standards and regulatory frameworks
• applicable to retail financial services, including broker-dealer, RIA,
• banking and lending, and financial product activities.
• Deep familiarity with brokerage and advisory requirements, SEC and FINRA
• rules and regulations, banking and lending legal frameworks, and the legal
• and regulatory considerations associated with financial product development
• and management.
• education as well as a state bar membership in good standing are required.
• Excellent writing and oral communication skills, experience with formal
• presentations and public speaking.
• Strong judgment and business acumen.
• Ability to explain complex legal terms in plain English.
• Possess a solutioning approach, where appropriate, in working with partners.
• 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!

• 401k Matching
• Health Benefits
• Employee Stock Options
• Paid Time Off
• Volunteer Time Off