VP, Assistant General Counsel – Regulatory Exams and Inquiries

LPL Financial

Regulatory attorney managing securities examinations and inquiries for LPL Financial, a major independent broker-dealer. Advising leaders, representing the firm with regulators, and mitigating enterprise-wide regulatory risk.

Posted 8/14/2026full-timeFort Mill • Massachusetts, New York, North Carolina • 🇺🇸 United StatesLead💰 $168,611 - $281,087 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in managing regulatory examinations and inquiries, with a strong focus on developing strategic solutions that balance regulatory obligations and business objectives. Proven ability to mentor legal professionals and enhance team effectiveness while navigating complex regulatory frameworks.

Highest-signal resume keywords

Juris Doctor (J.D.) DegreeActive Bar Membership6+ Years of Experience in Securities Exam MattersRegulatory Framework Knowledge for Broker-DealersExcellent Analytical and Negotiation Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory Examination ManagementLegal Advisory on Regulatory MattersRisk Assessment and Strategy DevelopmentPolicy and Process ImprovementComplex Regulatory Matter Handling

Soft Skills

Communication SkillsCollaboration SkillsRelationship-Building SkillsMentoring and Leadership Skills

Industry Keywords

FINRASECSROsOCC Regulatory MattersInvestment Advisers

About the role

Key responsibilities & impact

Manage regulatory examinations and inquiries from FINRA, the SEC, states, SROs, and other regulators.
Support LPL’s OCC-regulated affiliate and institutional partners during bank and credit union regulatory examinations.
Evaluate legal, regulatory, operational, and reputational risks and advise on response strategies.
Represent the Firm in interactions with regulators, including negotiating information requests, preparing written responses, and resolving issues.
Advise on emerging regulatory developments and assess their potential impact on the Firm.
Serve as legal advisor on complex regulatory matters with firm-wide implications.
Partner with business stakeholders to enhance policies and procedures and develop practical solutions balancing regulatory obligations and business objectives.
Develop and maintain effective relationships with regulatory agencies and industry partners.
Mentor, guide, and provide leadership to attorneys and legal professionals across the department.
Drive policy and process improvements that enhance team effectiveness and efficiency and support team development.

Requirements

What you’ll need

Juris Doctor (J.D.) degree from an accredited law school.
Active bar membership in good standing.
6+ years of experience working on securities exam or enforcement matters.
Relevant experience handling complex regulatory matters within a law firm, in-house legal department, or regulatory agency.
Understanding of the regulatory framework applicable to broker-dealers and investment advisers.
Excellent analytical, communication, advocacy, and negotiation skills.
Proven ability navigating complex, novel, and ambiguous regulatory matters.
Ability to assess enterprise-wide legal and regulatory implications and develop strategic solutions.
Ability to effectively represent the Firm with regulators and external stakeholders.
Excellent communication, collaboration, and relationship-building skills.
Ability to balance business objectives, regulatory obligations, and risk considerations.
Experience with bank, credit union, or OCC regulatory matters is preferred but not required.

Benefits

Comp & perks

401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Competitive LPL Total Rewards package