SVP, Associate General Counsel – Broker-Dealer Regulatory Compliance

LPL Financial

SVP, Associate General Counsel at LPL Financial providing legal advice for broker-dealer and advisory platforms. Collaborating with senior leadership and managing legal compliance.

Posted 6/24/2026full-timeNew York City • New York, South Carolina • 🇺🇸 United StatesJuniorMid-Level💰 $213,313 - $355,453 per yearWebsite

About the role

Key responsibilities & impact

provide day-to-day legal support for LPL’s financial services business
review, revise, and develop internal policies and procedures
conduct legal research and draft memos related to compliance
collaborate with members of the Legal Department and business units
manage a team of experienced attorneys

Requirements

What you’ll need

at least 10 years of relevant experience at a law firm counseling the financial services industry
expertise in the regulatory framework governing broker-dealers and investment advisers
working knowledge of federal securities laws
ability to advise on emerging areas such as AI-enabled tools and digital assets
demonstrated ability to lead and develop high-performing teams

Benefits

Comp & perks

401K matching
health benefits
employee stock options
paid time off
volunteer time off

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

legal researchdrafting memoscomplianceregulatory frameworkbroker-dealersinvestment advisersfederal securities lawsAI-enabled toolsdigital assets

Soft Skills

collaborationteam managementleadershipteam developmenthigh-performing teams