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EVP, Head of Advisory & Brokerage, Banking & Lending, and Product Legal at LPL Financial Corp · Katori

Asks for

The ad says“JD and an undergraduate degree from accredited institutions of higher education as well as a state bar membership in good standing are required.”
The ad says“JD and an undergraduate degree from accredited institutions of higher education as well as a state bar membership in good standing are required.”
The ad says“Deep familiarity with brokerage and advisory requirements, SEC and FINRA rules and regulations, banking and lending legal frameworks, and the legal and regulatory considerations associated with financial product development and management.”
The ad says“Strong judgment and business acumen.”
The ad says“The EVP, Head of Advisory & Brokerage, Banking & Lending, and Product Legal will be the firm’s lead attorney in developing the legal strategy and oversee the management of legal and regulatory issues related to LPL’s brokerage and advisory platforms, banking and lending offerings, institutions, retirement, strategy and products. Your role will combine legal leadership, strategic acumen, team management and a deep understanding of how to work with business partners to drive effective outcomes that balance client needs with keen risk analysis. You will be expected to leverage best practices in legal support, digital capabilities, tools, technologies, and techniques to extend a client-centric approach across the Legal functions—meeting advisors and business partners where they are and reimagining how they engage with and are supported by Legal.”
The ad says“Excellent writing and oral communication skills, experience with formal presentations and public speaking.”
The ad says“Excellent writing and oral communication skills, experience with formal presentations and public speaking.”
The ad says“Provide senior management and cross-functional partners with strategic leadership, insights, and risk management for LPL’s core businesses, including brokerage and advisory platforms, banking and lending offerings, and products.”
The ad says“Deep familiarity with brokerage and advisory requirements, SEC and FINRA rules and regulations, banking and lending legal frameworks, and the legal and regulatory considerations associated with financial product development and management.”
The ad says“Excellent writing and oral communication skills, experience with formal presentations and public speaking.”

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

The EVP, Head of Advisory & Brokerage, Banking & Lending, and Product Legal will be the firm’s lead attorney in developing the legal strategy and oversee the management of legal and regulatory issues related to LPL’s brokerage and advisory platforms, banking and lending offerings, institutions, retirement, strategy and products. Your role will combine legal leadership, strategic acumen, team management and a deep understanding of how to work with business partners to drive effective outcomes that balance client needs with keen risk analysis. You will be expected to leverage best practices in legal support, digital capabilities, tools, technologies, and techniques to extend a client-centric approach across the Legal functions—meeting advisors and business partners where they are and reimagining how they engage with and are supported by Legal.

Responsibilities:

Provide senior management and cross-functional partners with strategic leadership, insights, and risk management for LPL’s core businesses, including brokerage and advisory platforms, banking and lending offerings, and products.
Lead and inspire a best-in-class, diverse team of attorneys and legal staff in effectively and efficiently managing complex and varied legal and business issues while bringing a transformation mindset to the function and how it relates to clients.
Actively build, manage and develop the talent on your team, with a focus on client-centered lawyering, intellectual curiosity, partnership with the business and team-oriented approach.
Collaborate closely with colleagues in Legal and Government Relations to better integrate insights, create feedback loops and inform advice and advocacy.
Oversee a team that advises cross functional partners across the firm, including key control partners in Compliance, Risk and Supervision.
Partner with the Regulatory Team to set the strategy for engaging with the firm’s regulatory oversight bodies.
Leverage data, as well as industry developments, to provide key and actionable insights to business partners across the firm.
Bring innovation to reimagine old processes and develop new ways to delight clients and partners while providing valued legal advice and strategy.
Facilitate a tech-enabled department through relevant applications and processes.
Ensure the team understands and is supporting the business units’ goals and OKRs.

Requirements:

15+ years’ experience as an attorney advising a financial services firm or serving financial services clients, with meaningful experience across advisory and brokerage, banking and lending, and product legal matters.

Experience leading high performing and solutions-oriented teams.
Strong working knowledge of the legal standards and regulatory frameworks applicable to retail financial services, including broker-dealer, RIA, banking and lending, and financial product activities.

Deep familiarity with brokerage and advisory requirements, SEC and FINRA rules and regulations, banking and lending legal frameworks, and the legal and regulatory considerations associated with financial product development and management.

JD and an undergraduate degree from accredited institutions of higher education as well as a state bar membership in good standing are required.

Competencies:

Excellent writing and oral communication skills, experience with formal presentations and public speaking.
Strong judgment and business acumen.
Ability to explain complex legal terms in plain English.

Pay Range:

311,250-518,750/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) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

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.

For further information about LPL, please visit www.lpl.com.

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.

EAC 5.19.26