LPL Financial provides wealth management services and technology for financial professionals, institutions, and individual investors. Its platform combines advisor support, consulting, investment research, technology integration, and business-development resources to help financial advisors build their practices and deliver personalized advice. The company operates across finance, insurance, and consulting, with services designed to support both established firms and growing advisory businesses.
Executive Vice President, Head of Advisory, Brokerage, Banking, Lending and Product Legal
Executive Vice President leading legal strategy and regulatory oversight for LPL Financial’s advisory, brokerage, banking, lending, and product businesses. The role oversees legal teams and advises senior leaders and cross-functional partners on risk, compliance, and regulatory matters.
Description
- Set legal strategy and oversee legal and regulatory matters spanning LPL’s advisory and brokerage platforms, banking and lending services, institutional and retirement businesses, strategy, and products.
- Advise senior executives and cross-functional stakeholders through strategic counsel, business insights, and risk management.
- Lead and motivate a diverse team of attorneys and legal professionals.
- Recruit, manage, and develop talent around client-focused legal service and strong business partnership.
- Work with Legal and Government Relations to combine legal and policy perspectives in advice and advocacy.
- Oversee counsel delivered to Compliance, Risk, Supervision, and other cross-functional stakeholders.
- Collaborate with the Regulatory Team on engagement strategies for regulatory oversight bodies.
- Use data and industry trends to generate practical, decision-ready insights.
- Modernize processes and introduce innovative methods for legal advice and strategic support.
- Advance a technology-enabled legal function through appropriate tools, applications, and processes.
- Keep legal priorities aligned with business-unit goals and OKRs.
Requirements
- At least 15 years of experience practicing law for a financial services company or advising financial services clients.
- Substantial experience in advisory and brokerage, banking and lending, and product legal matters.
- Track record of leading high-performing, solutions-focused teams.
- Strong understanding of legal requirements and regulatory frameworks governing retail financial services.
- Extensive knowledge of brokerage and advisory obligations, SEC and FINRA rules, banking and lending law, and financial product development and management.
- Juris Doctor and undergraduate degree from accredited higher education institutions.
- Active membership in good standing with a state bar.
- Outstanding written and verbal communication abilities.
- Experience delivering formal presentations and speaking publicly.
- Sound judgment combined with strong business acumen.
- Ability to communicate complex legal concepts in plain English.
Benefits
- 401(k) matching
- Health benefits
- Employee stock options
- Paid time off
- Volunteer time off
- LPL Total Rewards package