LPL Financial қаржы мамандарына, мекемелерге және жеке инвесторларға байлықты басқару қызметтері мен технологиялық шешімдер ұсынады. Оның платформасы кеңесшілерді қолдауды, консультациялық қызметтерді, инвестициялық зерттеулерді, технологияларды ықпалдастыруды және бизнесті дамыту ресурстарын біріктіріп, қаржы кеңесшілеріне өз тәжірибесін дамытуға және жекелендірілген кеңес беруге көмектеседі. Компания қаржы, сақтандыру және консультациялық қызметтер салаларында жұмыс істейді, ал оның қызметтері қалыптасқан фирмалар мен өсіп келе жатқан кеңес беру бизнесін қолдауға арналған.
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.
Америка Құрама Штаттары
Нью-Йорк311 250 $ – 518 750 $ / жыл
КеңседеТолық жұмыс күніЖетекшіҚажетті Тіл: ағылшын тіліАдвокатСипаттама
- 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.
Талаптар
- 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.
Артықшылықтар
- 401(k) matching
- Health benefits
- Employee stock options
- Paid time off
- Volunteer time off
- LPL Total Rewards package