Senior Vice President, Associate General Counsel, Broker-Dealer Regulatory Compliance
Confidential
Senior Vice President, Associate General Counsel, Broker-Dealer Regulatory Compliance
About the Company
Profitable broker & financial advisory firm
Industry
Financial Services
Type
Public Company
Founded
1989
Employees
5001-10,000
Categories
- Financial Services
- Consulting & Professional Services
- Brokerage
- Finance
- Investment Banking
- San Diego
- Employee Advisor
- Financial Advisor
- Financial Professional
- LPL
- LPL Financial
- Linsco Advisor
- Linsco Private Ledger
- RIA
- Registered Investment Advisor
- Strategic Wealth Services
- Strategic Wealth Services Advisor
- Investing
- Financial Advisers
Specialties
- independent broker/dealer
- institution services
- ria
- independent advisors
- custom clearing services
- and financial services
Business Classifications
- B2B
About the Role
The Company is seeking a Senior Vice President, Associate General Counsel with a focus on broker-dealer regulatory compliance. The successful candidate will be a key leader in the corporate legal advice team, providing strategic legal and regulatory guidance for the company's broker-dealer and advisory platforms. This role involves advising on a wide range of legal and compliance matters, including but not limited to, federal, state, and SRO regulatory compliance, enforcement defense, and legal risks impacting brokerage and investment advisory activities. The ideal candidate will have a minimum of 10 years' of relevant experience, with a strong background in the financial services industry, particularly in the areas of broker-dealer and retail investment advisory businesses. Key responsibilities for this position include leading a team of experienced attorneys, managing a substantial legal docket, and collaborating with various business units to ensure compliance with applicable rules and regulations. The role also requires the ability to provide strategic counsel on M&A transactions, regulatory approval processes, and emerging areas such as AI-enabled advice tools and digital assets. The candidate should be recognized as a trusted advisor in complex, highly regulated environments, and have a proven track record of leading and developing high-performing legal teams. Core competencies for this role include strategic judgment, executive presence, influence without authority, and a commercial mindset.
Hiring Manager Title
Executive Vice President
Travel Percent
Less than 10%
Functions
- Legal
Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the Senior Vice President, Associate General Counsel, Broker-Dealer Regulatory Compliance in Fort Mill, York County, SC vacancy
- A public retail company in Fort Mill, SC seeks a General Counsel to oversee all legal matters and ensure compliance with regulations. The ideal candidate will have a J.D., over a decade of legal experience, particularly with public companies, and strong M&A expertise....Senior
- Daimler Truckfinancial is looking for a Dealer Floor Plan - Insurance Expert to oversee the Floor Plan Insurance program for commercial vehicles. You will work with over 400 dealerships to tailor insurance solutions that meet specific needs and enhance service offerings...Senior
$112.4k - $149.8k
Assistant General Counsel (Remote in SC) page is loaded## Assistant General Counsel (Remote... ...mortgage continuum and enhance security, compliance, customer satisfaction, and... ...tracking, and execution* Identify legal and regulatory risks in contractual arrangements and...SuggestedRemote jobContract workWork at office- ...an Impact The Antitrust & Compliance Counsel will serve as a strategic legal... ...alignment with evolving regulatory and enforcement priorities.... ...information sharing, and trade association activities. Advise on... ...training for sales, procurement, senior leadership, HR, and...SuggestedFor contractorsFixed term contractImmediate startVisa sponsorshipWork visaRelocation package
- ...Senior EHS Specialist The Senior EHS Specialist will serve as a key partner in driving... ...teams to strengthen safety culture, ensure compliance, and reduce risks, supporting the... ...and procedures, ensuring alignment with regulatory requirements and corporate standards. Investigate...SeniorLocal areaAll shiftsFlexible hours
MacLean Power Systems
Fort Mill, York County, SC4 days ago - A leading healthcare technology company is seeking a Senior In-House Litigation Attorney to join their legal team. The... ...role involves managing complex litigation, advising on regulatory issues, and ensuring compliance with legal frameworks. Candidates should have a JD and...SeniorRelocation package
- ...Shoe Carnival (NASDAQ: SCVL) seeks a General Counsel to serve as the company's chief legal... ...team on corporate governance, securities compliance, and strategic initiatives Lead and... ...Total Rewards program offers eligible associates highly competitive benefits, including...Contract workFlexible hoursShift work
- Murphy-Hoffman Company in Fort Mill is seeking a New Truck Sales Representative. This role involves selling new and used trucks, developing customer relationships, and maintaining market awareness. The candidate should have direct sales experience, strong communication ...
- ...experienced Corporate Counsel with a strong background... ...risk, operations, IT, compliance, and commercial... ...objectives while managing regulatory, contractual, and operational... ...America, supporting dealers and customers through... ...industry. Deliver general transactional legal advice...Contract workTemporary workFor contractorsWork experience placementWork at officeLocal areaRemote workRelocationRelocation package
Daimler Truck North America
Fort Mill, York County, SC23 hours ago - Tasks Inside the Role The Dealer Floor Plan - Insurance Expert oversees the Floor Plan... ...with the insurance team members, co-broker, and insurance companies; the Dealer Floor... ...and enhance service delivery. Regulatory Compliance Stay up-to-date with industry regulations...Temporary workFor contractorsWork at officeLocal areaRemote workRelocationRelocation package
- LPL Financial LLC in Charlotte, Texas, seeks a Senior Vice President, People Business Partner to partner with the CIO and drive meaningful organizational transformation. This role demands strategic HR expertise in a technology-focused environment. The ideal candidate will...Senior
- LPL Financial LLC is seeking an experienced Senior Vice President for Workforce Transformation. This critical role will lead efforts in equipping our workforce for enterprise transformations through innovative strategies such as AI and automation. Key responsibilities include...Senior
- NR Consulting is seeking a skilled Trade Compliance Specialist in Fort Mill, SC, with hybrid work flexibility. The role involves managing compliance processes for international imports and exports, ensuring adherence to regulations, and leading training initiatives. Ideal...Senior
- Associate Staffing is seeking a Senior SQL Database Administrator in Fort Mill, SC. The role involves securing and managing enterprise Microsoft SQL Server environments, ensuring compliance with audits, and maintaining operational integrity across SQL Server versions 20...Senior
- LPL Financial LLC is seeking a Senior Analyst to support the Regulatory Trade Reporting team. This role involves preparing... ...with various teams to ensure compliance. The ideal candidate has over 5 years of Broker-Dealer Operational experience and should possess...Senior
- LPL Financial LLC is seeking a seasoned leader to manage advisory platforms and trading strategies in New York. The role includes driving operations for the Overlay Portfolio Management Group, managing risk, and enhancing advisor experiences. The ideal candidate will possess...Senior
$78.38k - $130.71k
LPL Financial LLC is seeking a Senior Internal Auditor to participate in compliance-related internal audits and conduct process reviews. The successful candidate will lead audits, mentor junior staff, and ensure adherence to audit standards. With 3-6 years of relevant...Senior- Shoe Carnival, Inc. is seeking a detail-oriented Lease Reconciliation Accountant to join our accounting team. This role involves analyzing and reconciling landlord reports, ensuring financial accuracy, and collaborating with auditors and landlords. The ideal candidate should...
- First American Financial Corp. located in Fort Mill, SC is seeking a Customer Resolution Specialist responsible for addressing customer escalations through various communication methods. The ideal candidate will possess at least 5 years of experience and demonstrate strong...Senior
- Company Description Sun City Animal Hospital provides comprehensive veterinary services including wellness care, surgery, vaccinations, dental care, emergency care, and more. The clinic is led by Dr. Anjaiah Katta and is committed to combining advanced veterinary medicine...Full timeFlexible hours
Sun City Animal Hospital
Indian Land, SC9 days ago $112.4k - $149.8k
First American in Fort Mill, SC is seeking an Assistant General Counsel to specialize in drafting and negotiating contracts while providing legal advice on mortgage servicing operations. The ideal candidate will possess a law degree, with 2-4 years of legal experience,...Contract workRemote workFirst American
Fort Mill, York County, SC4 days ago- T-Mobile is seeking a Sr Mobile Expert based in Fort Mill, South Carolina. This role requires a passion for providing best-in-class customer service, leveraging retail expertise, and high-level problem-solving skills. The successful candidate will receive unique training...Senior
- Ross Stores, Inc. in Fort Mill, South Carolina is looking for a Senior Specialist Operation Support to oversee Transportation Procurement. This role involves driving bid processes, conducting market analysis, and leveraging Transportation Management Systems. The ideal...Senior
- ...Financial LLC is looking for a Marketing and Electronic Communication Compliance Officer to ensure compliance in marketing communications... .... The ideal candidate will have a robust background in regulatory requirements and experience in leading compliance strategies....
$161.09k - $268.42k
...standardize workflows across Tax Overlay, Direct Indexing, Managed Wealth, and portfolio mapping; streamline cross‑solution processes. Lead senior managers/SMEs; set role clarity, capacity models, and an accountability culture focused on outcomes. Drive root‑cause analysis and...- LPL Financial LLC seeks a Vice President to lead its Technology Governance program, ensuring compliance within the Cyber Security organization. This strategic role focuses on uplifting governance frameworks and collaborating across teams. The ideal candidate will have significant...
$135.75k - $226.19k
Marketing and Electronic Communication Compliance Officer We are seeking an experienced compliance... ...all channels, ensuring alignment with regulatory requirements, internal controls, and LPL... .... Serve as a trusted advisor to senior executives on regulatory risk, emerging...$149.76k - $249.57k
...financial planning, proposal generation, and regulatory considerations, enabling you to navigate... ..., operations, service, and legal/compliance teams to align stakeholders, define solutions... ...Engagement & Influence: Engage senior leaders to gain alignment and drive decision...Temporary workWork at officeWork from home$12.5 per hour
...into our park. Starting a Guests day off right requires that associates be warm and upbeat at all times as these interactions set the... ...of sales) system. Guide guests through the season pass or general admission purchase process, while utilizing sales techniques such...Work experience placementAfternoon shiftWeekday workCarowinds
Fort Mill, York County, SC2 days ago- First American Financial Corp. in Fort Mill, SC, seeks a Default Loan Servicing Specialist to manage mortgage accounts and ensure compliance with federal and state laws. Responsibilities include reviewing files and interacting with related parties to maintain loan...
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Vice President, Associate General Counsel, Broker-Dealer Regulatory Compliance. Be the first to apply!
Related searches
- vp of accounting Fort Mill, York County, SC
- senior vice president of operations Fort Mill, York County, SC
- vice president project management Fort Mill, York County, SC
- vp customer service Fort Mill, York County, SC
- vp support Fort Mill, York County, SC
- vice president of accounting Fort Mill, York County, SC
- vice president program management Fort Mill, York County, SC
- vp procurement Fort Mill, York County, SC
- vp of benefits and total rewards Fort Mill, York County, SC
- vice president manufacturing Fort Mill, York County, SC