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The VP, Associate Counsel will manage complex federal, state, and SRO investigations and regulatory matters, develop case strategies, draft correspondence with regulators, manage outside counsel, and prepare witnesses for testimony, all while collaborating with legal teams and ensuring excellent client service.

The AVP, Associate General Counsel is responsible for providing in-house legal services focused on investor complaints, regulatory inquiries, and litigation defense. The role involves collaborating with compliance and operations teams, evaluating legal risks, and advising on equitable resolutions to claims.

As an IFS Platform Principal Tech Lead, you will lead a team in building and enhancing Move Money workflows such as Checks, ACH, Journals, and Wires. Your role includes architecting systems to optimize performance and user experience while driving engineering excellence and fostering team development. You will work within cross-functional teams to deliver scalable and secure software solutions aligned with business objectives.

As a Sr Analyst in Trading Operations, you will be responsible for processing equity trade correction requests, reviewing trade errors, and collaborating with management on escalations. You will also contribute to procedural development, monitor equity trading mail coverage, and assist in integrating new team members.

The Senior Analyst, Credit Risk will monitor collateral securing credit, assess risks and exposures, utilize VaR analytics for risk management, ensure appropriate margin requirements, and develop metrics reporting. This role requires collaboration across multiple business units to maintain risk appetite and provide effective communication and executive presentations.

The AVP, ERISA Compliance is responsible for leading day-to-day compliance activities for ERISA and Retirement related services. This role involves managing a team of compliance analysts, providing strategic direction, ensuring consistency in compliance programs, coordinating activities across the firm, identifying compliance issues, and working closely with legal and business partners to enhance compliance in retirement offerings.

The Vice President, Operations Strategy will lead initiatives to refine and execute the Operations-wide strategy at LPL Financial, involving data analysis, partnership with leadership, and cross-functional collaboration to optimize business transformation efforts and improve operating metrics.