Hiring: VP, Assistant General Counsel - Brokerage Company: LPL Financial Location: Fort Mill, SC Job Posted Time: 2026-09-10 12:37:13 Target Skills & Keywords : Microsoft Excel, Microsoft PowerPoint, Wealth Management About the job Experience: •5-10 years of experience in dealing with issues arising under the Securities Exchange Act, Investment Advisers Act of 1940, FINRA rules and regulations as well as related federal and state securities laws. •10 years of experience in dealing with issues arising under the Securities Exchange Act, Investment Advisers Act of 1940, FINRA rules and regulations as well as related federal and state securities laws. Required Skills: •Lead with Purpose, Unlock Your Team’s Passion •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 to apply today. •Provide day-to-day legal support for LPL’s financial services business, including providing legal analysis and advice with respect to applicable rules, regulations and legal risk relating to the brokerage and investment advisory business. •Provide conversion and integration support, including advice and counsel on legal and regulatory implications of business migrations, repapering efforts, bulk transfers, and operational changes. •Drafting and modifying client agreements, account documentation and disclosures, and filings with regulators. Performing legal research and drafting memorandums concerning compliance with applicable laws, rules and regulations. •Interacting with other members of the Legal Department as well as other LPL units including, amongst other departments, Compliance and Risk. •What are we looking for? Qualifications: •Proficiency with MS Word, Excel, PowerPoint, and Outlook. •Demonstrated capacity to interface effectively with investment personnel as well as LPL advisors, clients and their counsel. •Demonstrated capacity to understand and assess a wide variety of complex commercial transactions. •Highly motivated self-starter able to work independently while collaborating and coordinating as part of a global program. •Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment. •Exceptional written and verbal communications skills, attention to detail, and effective time management. •Sound judgment and an ability to appropriately escalate issues internally. •Proven ability to handle highly confidential information professionally and with appropriate discretion. •Strong interest in developing AI proficiency, including the ability to learn and adopt emerging AI tools and technologies in support of objectives. Compensation: •$168,611 - $281,087 / year •Flexible work environment (work from home / hybrid options) Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!