VP, Assistant General Counsel - Corporate Legal

Job Overview:

The VP, Assistant General Counsel (Corporate Legal) will advise on a broad range of general corporate and securities law issues in support of LPL Financials corporate governance, strategic transactions and obligations as a public company.  The position reports to the Senior Vice President, Associate General Counsel – Corporate Legal within the Legal Department’s Corporate group, and will interface daily with in-house colleagues and business executives in the context of providing legal advice. 

Primary Responsibilities:

The attorney will advise in connection with a range of general business matters, including corporate governance, corporate secretary support, strategic transactions, capital markets transactions, executive compensation and public company reporting and compliance.   In particular, the position will provide legal advice in support of:

• Exchange Act filings, including Forms 10-K, 10-Q and 8-K and Section 16 filings

• Securities law compliance

• Capital markets transactions

• Strategic M&A transactions

• Financial reporting

• Executive compensation

• Investor relations

• Board and committee matters

• Corporate subsidiary management

What are we looking for?

We are seeking a lawyer with at least 3 to 5 years of experience in a sophisticated general corporate practice.  Experience in the financial services industry is preferred but not required.  We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, who are client-focused and team-oriented, and who are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

• JD from a nationally recognized law school

• At least 3 to 5 years of experience working for a sophisticated law firm or comparable in-house legal department

Preferences:

• Strong organizational and project management skills, including the ability to handle multiple priorities in a fast-paced and demanding work environment

• Excellent drafting, negotiation and communication skills

• Ability to interface well with business executives in real time to problem-solve and provide independent judgment

• Experience counseling public companies with regard to public company reporting and corporate governance matters

Pay Range:

$163,725-$272,875/year
 Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
 

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

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